NIST SP800-53 rev 4

AC-1 ACCESS CONTROL POLICY AND PROCEDURES

Parameter: ac-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ac-1_b organization-defined frequency

organization-defined frequency

Parameter: ac-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to ac-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the access control policy and associated access controls; and

b.

Reviews and updates the current:

1.	Access control policy ac-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Access control procedures ac-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an access control policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the access control policy are to be disseminated;

[3]	disseminates the access control policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current access control policy;

[2]	reviews and updates the current access control policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current access control procedures; and

[2]	reviews and updates the current access control procedures with the organization-defined frequency.

Assessment: EXAMINE

Access control policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access control responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-100

AC-2 ACCOUNT MANAGEMENT

Parameter: ac-2_a organization-defined information system account types

organization-defined information system account types

Parameter: ac-2_b organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ac-2_c organization-defined procedures or conditions

organization-defined procedures or conditions

Parameter: ac-2_d organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Identifies and selects the following types of information system accounts to support organizational missions/business functions: ac-2_a organization-defined information system account types organization-defined information system account types [NO PARAMETER VALUE GIVEN] ;

b.	Assigns account managers for information system accounts;

c.	Establishes conditions for group and role membership;

d.	Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;

e.	Requires approvals by ac-2_b organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] for requests to create information system accounts;

f.	Creates, enables, modifies, disables, and removes information system accounts in accordance with ac-2_c organization-defined procedures or conditions organization-defined procedures or conditions [NO PARAMETER VALUE GIVEN] ;

g.	Monitors the use of information system accounts;

h.

Notifies account managers:

1.	When accounts are no longer required;

2.	When users are terminated or transferred; and

3.	When individual information system usage or need-to-know changes;

i.

Authorizes access to the information system based on:

1.	A valid access authorization;

2.	Intended system usage; and

3.	Other attributes as required by the organization or associated missions/business functions;

j.	Reviews accounts for compliance with account management requirements ac-2_d organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

k.	Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.

Supplemental guidance

Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.

Objectives

Determine if the organization:

(a)

[1]	defines information system account types to be identified and selected to support organizational missions/business functions;

[2]	identifies and selects organization-defined information system account types to support organizational missions/business functions;

(b)	assigns account managers for information system accounts;

(c)	establishes conditions for group and role membership;

(d)

specifies for each account (as required):

[1]	authorized users of the information system;

[2]	group and role membership;

[3]	access authorizations (i.e., privileges);

[4]	other attributes;

(e)

[1]	defines personnel or roles required to approve requests to create information system accounts;

[2]	requires approvals by organization-defined personnel or roles for requests to create information system accounts;

(f)

[1]

defines procedures or conditions to:

[a]	create information system accounts;

[b]	enable information system accounts;

[c]	modify information system accounts;

[d]	disable information system accounts;

[e]	remove information system accounts;

[2]

in accordance with organization-defined procedures or conditions:

[a]	creates information system accounts;

[b]	enables information system accounts;

[c]	modifies information system accounts;

[d]	disables information system accounts;

[e]	removes information system accounts;

(g)	monitors the use of information system accounts;

(h)

notifies account managers:

(1)	when accounts are no longer required;

(2)	when users are terminated or transferred;

(3)	when individual information system usage or need to know changes;

(i)

authorizes access to the information system based on;

(1)	a valid access authorization;

(2)	intended system usage;

(3)	other attributes as required by the organization or associated missions/business functions;

(j)

[1]	defines the frequency to review accounts for compliance with account management requirements;

[2]	reviews accounts for compliance with account management requirements with the organization-defined frequency; and

(k)	establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes account management on the information system

automated mechanisms for implementing account management

References: None

AC-3 ACCESS ENFORCEMENT

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

Supplemental guidance

Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.

cf #ac.16

Objective

Determine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement

information system design documentation

information system configuration settings and associated documentation

list of approved authorizations (user privileges)

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy

References: None

AC-4 INFORMATION FLOW ENFORCEMENT

Parameter: ac-4_a organization-defined information flow control policies

organization-defined information flow control policies

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on ac-4_a organization-defined information flow control policies organization-defined information flow control policies [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.

Objectives

Determine if:

[1]	the organization defines information flow control policies to control the flow of information within the system and between interconnected systems; and

[2]	the information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

information system baseline configuration

list of information flow authorizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

References: None

AC-5 SEPARATION OF DUTIES

Parameter: ac-5_a organization-defined duties of individuals

organization-defined duties of individuals

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Separates ac-5_a organization-defined duties of individuals organization-defined duties of individuals [NO PARAMETER VALUE GIVEN] ;

b.	Documents separation of duties of individuals; and

c.	Defines information system access authorizations to support separation of duties.

Supplemental guidance

Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.

Objectives

Determine if the organization:

(a)

[1]	defines duties of individuals to be separated;

[2]	separates organization-defined duties of individuals;

(b)	documents separation of duties; and

(c)	defines information system access authorizations to support separation of duties.

Assessment: EXAMINE

Access control policy

procedures addressing divisions of responsibility and separation of duties

information system configuration settings and associated documentation

list of divisions of responsibility and separation of duties

information system access authorizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing separation of duties policy

References: None

AC-6 LEAST PRIVILEGE

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.

Supplemental guidance

Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.

Objective

Determine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

list of assigned access authorizations (user privileges)

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing least privilege functions

References: None

AC-7 UNSUCCESSFUL LOGON ATTEMPTS

Parameter: ac-7_a organization-defined number

organization-defined number

Parameter: ac-7_b organization-defined time period

organization-defined time period

Parameter: ac-7_c organization-defined time period

organization-defined time period

Parameter: ac-7_d organization-defined delay algorithm

organization-defined delay algorithm

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.	Enforces a limit of ac-7_a organization-defined number organization-defined number [NO PARAMETER VALUE GIVEN] consecutive invalid logon attempts by a user during a ac-7_b organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] ; and

b.

Automatically [Selection: locks the account/node for an ac-7_c organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] ; locks the account/node until released by an administrator; delays next logon prompt according to ac-7_d organization-defined delay algorithm organization-defined delay algorithm [NO PARAMETER VALUE GIVEN] ] when the maximum number of unsuccessful attempts is exceeded.

Supplemental guidance

This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.

cf AC-2AC-2AC-2

cf #ac.9

cf AC-14AC-14AC-14

cf IA-5IA-5IA-5

Objectives

Determine if:

(a)

[1]	the organization defines the number of consecutive invalid logon attempts allowed to the information system by a user during an organization-defined time period;

[2]	the organization defines the time period allowed by a user of the information system for an organization-defined number of consecutive invalid logon attempts;

[3]	the information system enforces a limit of organization-defined number of consecutive invalid logon attempts by a user during an organization-defined time period;

(b)

[1]	the organization defines account/node lockout time period or logon delay algorithm to be automatically enforced by the information system when the maximum number of unsuccessful logon attempts is exceeded;

[2]

the information system, when the maximum number of unsuccessful logon attempts is exceeded, automatically:

[a]	locks the account/node for the organization-defined time period;

[b]	locks the account/node until released by an administrator; or

[c]	delays next logon prompt according to the organization-defined delay algorithm.

Assessment: EXAMINE

Access control policy

procedures addressing unsuccessful logon attempts

security plan

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system developers

system/network administrators

Assessment: TEST

Automated mechanisms implementing access control policy for unsuccessful logon attempts

References: None

AC-8 SYSTEM USE NOTIFICATION

Parameter: ac-8_a organization-defined system use notification message or banner

organization-defined system use notification message or banner

Parameter: ac-8_b organization-defined conditions

organization-defined conditions

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.

Displays to users ac-8_a organization-defined system use notification message or banner organization-defined system use notification message or banner [NO PARAMETER VALUE GIVEN] before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:

1.	Users are accessing a U.S. Government information system;

2.	Information system usage may be monitored, recorded, and subject to audit;

3.	Unauthorized use of the information system is prohibited and subject to criminal and civil penalties; and

4.	Use of the information system indicates consent to monitoring and recording;

b.	Retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and

c.

For publicly accessible systems:

1.	Displays system use information ac-8_b organization-defined conditions organization-defined conditions [NO PARAMETER VALUE GIVEN] , before granting further access;

2.	Displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and

3.	Includes a description of the authorized uses of the system.

Supplemental guidance

System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.

Objectives

Determine if:

(a)

[1]	the organization defines a system use notification message or banner to be displayed by the information system to users before granting access to the system;

[2]

the information system displays to users the organization-defined system use notification message or banner before granting access to the information system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance, and states that:

(1)	users are accessing a U.S. Government information system;

(2)	information system usage may be monitored, recorded, and subject to audit;

(3)	unauthorized use of the information system is prohibited and subject to criminal and civil penalties;

(4)	use of the information system indicates consent to monitoring and recording;

(b)	the information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system;

(c)

for publicly accessible systems:

(1)

[1]	the organization defines conditions for system use to be displayed by the information system before granting further access;

[2]	the information system displays organization-defined conditions before granting further access;

(2)	the information system displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and

(3)	the information system includes a description of the authorized uses of the system.

Assessment: EXAMINE

Access control policy

privacy and security policies, procedures addressing system use notification

documented approval of information system use notification messages or banners

information system audit records

user acknowledgements of notification message or banner

information system design documentation

information system configuration settings and associated documentation

information system use notification messages

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibility for providing legal advice

system developers

Assessment: TEST

Automated mechanisms implementing system use notification

References: None

AC-10 CONCURRENT SESSION CONTROL

Parameter: ac-10_a organization-defined account and/or account type

organization-defined account and/or account type

Parameter: ac-10_b organization-defined number

organization-defined number

priority: P3

baseline-impact: HIGH

Control

The information system limits the number of concurrent sessions for each ac-10_a organization-defined account and/or account type organization-defined account and/or account type [NO PARAMETER VALUE GIVEN] to ac-10_b organization-defined number organization-defined number [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.

Objectives

Determine if:

[1]	the organization defines account and/or account types for the information system;

[2]	the organization defines the number of concurrent sessions to be allowed for each organization-defined account and/or account type; and

[3]	the information system limits the number of concurrent sessions for each organization-defined account and/or account type to the organization-defined number of concurrent sessions allowed.

Assessment: EXAMINE

Access control policy

procedures addressing concurrent session control

information system design documentation

information system configuration settings and associated documentation

security plan

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy for concurrent session control

References: None

AC-11 SESSION LOCK

Parameter: ac-11_a organization-defined time period

organization-defined time period

priority: P3

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.	Prevents further access to the system by initiating a session lock after ac-11_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] of inactivity or upon receiving a request from a user; and

b.	Retains the session lock until the user reestablishes access using established identification and authentication procedures.

Supplemental guidance

Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.

cf AC-7AC-7AC-7

Objectives

Determine if:

(a)

[1]	the organization defines the time period of user inactivity after which the information system initiates a session lock;

[2]	the information system prevents further access to the system by initiating a session lock after organization-defined time period of user inactivity or upon receiving a request from a user; and

(b)	the information system retains the session lock until the user reestablishes access using established identification and authentication procedures.

Assessment: EXAMINE

Access control policy

procedures addressing session lock

procedures addressing identification and authentication

information system design documentation

information system configuration settings and associated documentation

security plan

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy for session lock

References

OMB Memorandum 06-16

AC-12 SESSION TERMINATION

Parameter: ac-12_a organization-defined conditions or trigger events requiring session disconnect

organization-defined conditions or trigger events requiring session disconnect

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system automatically terminates a user session after ac-12_a organization-defined conditions or trigger events requiring session disconnect organization-defined conditions or trigger events requiring session disconnect [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user�s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.

cf SC-10SC-10SC-10

cf SC-23SC-23SC-23

Objectives

Determine if:

[1]	the organization defines conditions or trigger events requiring session disconnect; and

[2]	the information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect occurs.

Assessment: EXAMINE

Access control policy

procedures addressing session termination

information system design documentation

information system configuration settings and associated documentation

list of conditions or trigger events requiring session disconnect

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing user session termination

References: None

AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

Parameter: ac-14_a organization-defined user actions

organization-defined user actions

priority: P3

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Identifies ac-14_a organization-defined user actions organization-defined user actions [NO PARAMETER VALUE GIVEN] that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and

b.	Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.

Supplemental guidance

This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.

cf CP-2CP-2CP-2

cf IA-2IA-2IA-2

Objectives

Determine if the organization:

(a)

[1]	defines user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions;

[2]	identifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and

(b)	documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.

Assessment: EXAMINE

Access control policy

procedures addressing permitted actions without identification or authentication

information system configuration settings and associated documentation

security plan

list of user actions that can be performed without identification or authentication

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

References: None

AC-17 REMOTE ACCESS

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Establishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and

b.	Authorizes remote access to the information system prior to allowing such connections.

Supplemental guidance

Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.

Objectives

Determine if the organization:

(a)

[1]	identifies the types of remote access allowed to the information system;

[2]

establishes for each type of remote access allowed:

[a]	usage restrictions;

[b]	configuration/connection requirements;

[c]	implementation guidance;

[3]

documents for each type of remote access allowed:

[a]	usage restrictions;

[b]	configuration/connection requirements;

[c]	implementation guidance; and

(b)	authorizes remote access to the information system prior to allowing such connections.

Assessment: EXAMINE

Access control policy

procedures addressing remote access implementation and usage (including restrictions)

configuration management plan

security plan

information system configuration settings and associated documentation

remote access authorizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for managing remote access connections

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Remote access management capability for the information system

References

NIST Special Publication 800-46

NIST Special Publication 800-77

NIST Special Publication 800-113

NIST Special Publication 800-114

NIST Special Publication 800-121

AC-18 WIRELESS ACCESS

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Establishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and

b.	Authorizes wireless access to the information system prior to allowing such connections.

Supplemental guidance

Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.

Objectives

Determine if the organization:

(a)

establishes for wireless access:

[1]	usage restrictions;

[2]	configuration/connection requirement;

[3]	implementation guidance; and

(b)	authorizes wireless access to the information system prior to allowing such connections.

Assessment: EXAMINE

Access control policy

procedures addressing wireless access implementation and usage (including restrictions)

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

wireless access authorizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for managing wireless access connections

organizational personnel with information security responsibilities

Assessment: TEST

Wireless access management capability for the information system

References

NIST Special Publication 800-48

NIST Special Publication 800-94

NIST Special Publication 800-97

AC-19 ACCESS CONTROL FOR MOBILE DEVICES

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Establishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and

b.	Authorizes the connection of mobile devices to organizational information systems.

Supplemental guidance

A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.

cf #sc.43

Objectives

Determine if the organization:

(a)

establishes for organization-controlled mobile devices:

[1]	usage restrictions;

[2]	configuration/connection requirement;

[3]	implementation guidance; and

(b)	authorizes the connection of mobile devices to organizational information systems.

Assessment: EXAMINE

Access control policy

procedures addressing access control for mobile device usage (including restrictions)

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

authorizations for mobile device connections to organizational information systems

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel using mobile devices to access organizational information systems

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Access control capability authorizing mobile device connections to organizational information systems

References

OMB Memorandum 06-16

NIST Special Publication 800-114

NIST Special Publication 800-124

NIST Special Publication 800-164

AC-20 USE OF EXTERNAL INFORMATION SYSTEMS

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:

a.	Access the information system from external information systems; and

b.	Process, store, or transmit organization-controlled information using external information systems.

Supplemental guidance

External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.

Objectives

Determine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:

(a)	access the information system from the external information systems; and

(b)	process, store, or transmit organization-controlled information using external information systems.

Assessment: EXAMINE

Access control policy

procedures addressing the use of external information systems

external information systems terms and conditions

list of types of applications accessible from external information systems

maximum security categorization for information processed, stored, or transmitted on external information systems

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing terms and conditions on use of external information systems

References

FIPS Publication 199

AC-21 INFORMATION SHARING

Parameter: ac-21_a organization-defined information sharing circumstances where user discretion is required

organization-defined information sharing circumstances where user discretion is required

Parameter: ac-21_b organization-defined automated mechanisms or manual processes

organization-defined automated mechanisms or manual processes

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for ac-21_a organization-defined information sharing circumstances where user discretion is required organization-defined information sharing circumstances where user discretion is required [NO PARAMETER VALUE GIVEN] ; and

b.	Employs ac-21_b organization-defined automated mechanisms or manual processes organization-defined automated mechanisms or manual processes [NO PARAMETER VALUE GIVEN] to assist users in making information sharing/collaboration decisions.

Supplemental guidance

This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.

cf AC-3AC-3AC-3

Objectives

Determine if the organization:

(a)

[1]	defines information sharing circumstances where user discretion is required;

[2]	facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances;

(b)

[1]	defines automated mechanisms or manual processes to be employed to assist users in making information sharing/collaboration decisions; and

[2]	employs organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.

Assessment: EXAMINE

Access control policy

procedures addressing user-based collaboration and information sharing (including restrictions)

information system design documentation

information system configuration settings and associated documentation

list of users authorized to make information sharing/collaboration decisions

list of information sharing circumstances requiring user discretion

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel responsible for making information sharing/collaboration decisions

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions

References: None

AC-22 PUBLICLY ACCESSIBLE CONTENT

Parameter: ac-22_a organization-defined frequency

organization-defined frequency

priority: P3

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Designates individuals authorized to post information onto a publicly accessible information system;

b.	Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;

c.	Reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and

d.	Reviews the content on the publicly accessible information system for nonpublic information ac-22_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] and removes such information, if discovered.

Supplemental guidance

In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.

cf #au.13

Objectives

Determine if the organization:

(a)	designates individuals authorized to post information onto a publicly accessible information system;

(b)	trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;

(c)	reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included;

(d)

[1]	defines the frequency to review the content on the publicly accessible information system for nonpublic information;

[2]	reviews the content on the publicly accessible information system for nonpublic information with the organization-defined frequency; and

[3]	removes nonpublic information from the publicly accessible information system, if discovered.

Assessment: EXAMINE

Access control policy

procedures addressing publicly accessible content

list of users authorized to post publicly accessible content on organizational information systems

training materials and/or records

records of publicly accessible information reviews

records of response to nonpublic information on public websites

system audit logs

security awareness training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing management of publicly accessible content

References: None

AT-1 SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES

Parameter: at-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: at-1_b organization-defined frequency

organization-defined frequency

Parameter: at-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to at-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and

b.

Reviews and updates the current:

1.	Security awareness and training policy at-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Security awareness and training procedures at-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an security awareness and training policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the security awareness and training policy are to be disseminated;

[3]	disseminates the security awareness and training policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current security awareness and training policy;

[2]	reviews and updates the current security awareness and training policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current security awareness and training procedures; and

[2]	reviews and updates the current security awareness and training procedures with the organization-defined frequency.

Assessment: EXAMINE

Security awareness and training policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security awareness and training responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-16

NIST Special Publication 800-50

NIST Special Publication 800-100

AT-2 SECURITY AWARENESS TRAINING

Parameter: at-2_a organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):

a.	As part of initial training for new users;

b.	When required by information system changes; and

c.	at-2_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] thereafter.

Supplemental guidance

Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.

cf AT-3AT-3AT-3

cf AT-4AT-4AT-4

cf PL-4PL-4PL-4

Objectives

Determine if the organization:

(a)	provides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;

(b)	provides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and

(c)

[1]	defines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and

[2]	provides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security awareness training implementation

appropriate codes of federal regulations

security awareness training curriculum

security awareness training materials

security plan

training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for security awareness training

organizational personnel with information security responsibilities

organizational personnel comprising the general information system user community

Assessment: TEST

Automated mechanisms managing security awareness training

Control enhancements

AT-2 (2) INSIDER THREAT

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization includes security awareness training on recognizing and reporting potential indicators of insider threat.

Supplemental guidance

Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.

cf PL-4PL-4PL-4

cf #pm.12

cf PS-3PS-3PS-3

cf PS-6PS-6PS-6

Objective

Determine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security awareness training implementation

security awareness training curriculum

security awareness training materials

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel that participate in security awareness training

organizational personnel with responsibilities for basic security awareness training

organizational personnel with information security responsibilities

References

C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)

Executive Order 13587

NIST Special Publication 800-50

AT-3 ROLE-BASED SECURITY TRAINING

Parameter: at-3_a organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization provides role-based security training to personnel with assigned security roles and responsibilities:

a.	Before authorizing access to the information system or performing assigned duties;

b.	When required by information system changes; and

c.	at-3_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] thereafter.

Supplemental guidance

Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.

Objectives

Determine if the organization:

(a)	provides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;

(b)	provides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and

(c)

[1]	defines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and

[2]	provides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security training implementation

codes of federal regulations

security training curriculum

security training materials

security plan

training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for role-based security training

organizational personnel with assigned information system security roles and responsibilities

Assessment: TEST

Automated mechanisms managing role-based security training

References

C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)

NIST Special Publication 800-16

NIST Special Publication 800-50

AT-4 SECURITY TRAINING RECORDS

Parameter: at-4_a organization-defined time period

organization-defined time period

priority: P3

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and

b.	Retains individual training records for at-4_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Documentation for specialized training may be maintained by individual supervisors at the option of the organization.

cf AT-2AT-2AT-2

cf AT-3AT-3AT-3

cf #pm.14

Objectives

Determine if the organization:

(a)

[1]

documents individual information system security training activities including:

[a]	basic security awareness training;

[b]	specific role-based information system security training;

[2]

monitors individual information system security training activities including:

[a]	basic security awareness training;

[b]	specific role-based information system security training;

(b)

[1]	defines a time period to retain individual training records; and

[2]	retains individual training records for the organization-defined time period.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security training records

security awareness and training records

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security training record retention responsibilities

Assessment: TEST

Automated mechanisms supporting management of security training records

References: None

AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES

Parameter: au-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: au-1_b organization-defined frequency

organization-defined frequency

Parameter: au-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to au-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and

b.

Reviews and updates the current:

1.	Audit and accountability policy au-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Audit and accountability procedures au-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an audit and accountability policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the audit and accountability policy are to be disseminated;

[3]	disseminates the audit and accountability policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current audit and accountability policy;

[2]	reviews and updates the current audit and accountability policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current audit and accountability procedures; and

[2]	reviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.

Assessment: EXAMINE

Audit and accountability policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-100

AU-2 AUDIT EVENTS

Parameter: au-2_a organization-defined auditable events

organization-defined auditable events

Parameter: au-2_b organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event

organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Determines that the information system is capable of auditing the following events: au-2_a organization-defined auditable events organization-defined auditable events [NO PARAMETER VALUE GIVEN] ;

b.	Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;

c.	Provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and

d.

Determines that the following events are to be audited within the information system: au-2_b organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.

Objectives

Determine if the organization:

(a)

[1]	defines the auditable events that the information system must be capable of auditing;

[2]	determines that the information system is capable of auditing organization-defined auditable events;

(b)	coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;

(c)	provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents;

(d)

[1]	defines the subset of auditable events defined in AU-2a that are to be audited within the information system;

[2]	determines that the subset of auditable events defined in AU-2a are to be audited within the information system; and

[3]	determines the frequency of (or situation requiring) auditing for each identified event.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing auditable events

security plan

information system design documentation

information system configuration settings and associated documentation

information system audit records

information system auditable events

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing information system auditing

References

NIST Special Publication 800-92

http://idmanagement.gov

AU-3 CONTENT OF AUDIT RECORDS

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.

Supplemental guidance

Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).

Objectives

Determine if the information system generates audit records containing information that establishes:

[1]	what type of event occurred;

[2]	when the event occurred;

[3]	where the event occurred;

[4]	the source of the event;

[5]	the outcome of the event; and

[6]	the identity of any individuals or subjects associated with the event.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing content of audit records

information system design documentation

information system configuration settings and associated documentation

list of organization-defined auditable events

information system audit records

information system incident reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing information system auditing of auditable events

References: None

AU-4 AUDIT STORAGE CAPACITY

Parameter: au-4_a organization-defined audit record storage requirements

organization-defined audit record storage requirements

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization allocates audit record storage capacity in accordance with au-4_a organization-defined audit record storage requirements organization-defined audit record storage requirements [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.

Objectives

Determine if the organization:

[1]	defines audit record storage requirements; and

[2]	allocates audit record storage capacity in accordance with the organization-defined audit record storage requirements.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit storage capacity

information system design documentation

information system configuration settings and associated documentation

audit record storage requirements

audit record storage capability for information system components

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Audit record storage capacity and related configuration settings

References: None

AU-5 RESPONSE TO AUDIT PROCESSING FAILURES

Parameter: au-5_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: au-5_b organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)

organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.	Alerts au-5_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] in the event of an audit processing failure; and

b.

Takes the following additional actions: au-5_b organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.

cf AU-4AU-4AU-4

cf SI-12SI-12SI-12

Objectives

Determine if:

(a)

[1]	the organization defines the personnel or roles to be alerted in the event of an audit processing failure;

[2]	the information system alerts the organization-defined personnel or roles in the event of an audit processing failure;

(b)

[1]	the organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and

[2]	the information system takes the additional organization-defined actions in the event of an audit processing failure.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing response to audit processing failures

information system design documentation

security plan

information system configuration settings and associated documentation

list of personnel to be notified in case of an audit processing failure

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing information system response to audit processing failures

References: None

AU-6 AUDIT REVIEW, ANALYSIS, AND REPORTING

Parameter: au-6_a organization-defined frequency

organization-defined frequency

Parameter: au-6_b organization-defined inappropriate or unusual activity

organization-defined inappropriate or unusual activity

Parameter: au-6_c organization-defined personnel or roles

organization-defined personnel or roles

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Reviews and analyzes information system audit records au-6_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] for indications of au-6_b organization-defined inappropriate or unusual activity organization-defined inappropriate or unusual activity [NO PARAMETER VALUE GIVEN] ; and

b.	Reports findings to au-6_c organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.

cf #au.16

Objectives

Determine if the organization:

(a)

[1]	defines the types of inappropriate or unusual activity to look for when information system audit records are reviewed and analyzed;

[2]	defines the frequency to review and analyze information system audit records for indications of organization-defined inappropriate or unusual activity;

[3]	reviews and analyzes information system audit records for indications of organization-defined inappropriate or unusual activity with the organization-defined frequency;

(b)

[1]	defines personnel or roles to whom findings resulting from reviews and analysis of information system audit records are to be reported; and

[2]	reports findings to organization-defined personnel or roles.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

reports of audit findings

records of actions taken in response to reviews/analyses of audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

References: None

AU-7 AUDIT REDUCTION AND REPORT GENERATION

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system provides an audit reduction and report generation capability that:

a.	Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and

b.	Does not alter the original content or time ordering of audit records.

Supplemental guidance

Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.

cf AU-6AU-6AU-6

Objectives

Determine if the information system provides an audit reduction and report generation capability that supports:

(a)

[1]	on-demand audit review;

[2]

analysis;

[3]	reporting requirements;

[4]	after-the-fact investigations of security incidents; and

(b)	does not alter the original content or time ordering of audit records.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit reduction and report generation

information system design documentation

information system configuration settings and associated documentation

audit reduction, review, analysis, and reporting tools

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit reduction and report generation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Audit reduction and report generation capability

References: None

AU-8 TIME STAMPS

Parameter: au-8_a organization-defined granularity of time measurement

organization-defined granularity of time measurement

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.	Uses internal system clocks to generate time stamps for audit records; and

b.	Records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets au-8_a organization-defined granularity of time measurement organization-defined granularity of time measurement [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.

cf AU-3AU-3AU-3

cf AU-12AU-12AU-12

Objectives

Determine if:

(a)	the information system uses internal system clocks to generate time stamps for audit records;

(b)

[1]	the information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);

[2]	the organization defines the granularity of time measurement to be met when recording time stamps for audit records; and

[3]	the organization records time stamps for audit records that meet the organization-defined granularity of time measurement.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing time stamp generation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing time stamp generation

References: None

AU-9 PROTECTION OF AUDIT INFORMATION

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system protects audit information and audit tools from unauthorized access, modification, and deletion.

Supplemental guidance

Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.

Objectives

Determine if:

[1]

the information system protects audit information from unauthorized:

[a]

access;

[b]	modification;

[c]

deletion;

[2]

the information system protects audit tools from unauthorized:

[a]

access;

[b]	modification; and

[c]

deletion.

Assessment: EXAMINE

Audit and accountability policy

access control policy and procedures

procedures addressing protection of audit information

information system design documentation

information system configuration settings and associated documentation, information system audit records

audit tools

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing audit information protection

References: None

AU-10 NON-REPUDIATION

Parameter: au-10_a organization-defined actions to be covered by non-repudiation

organization-defined actions to be covered by non-repudiation

priority: P2

baseline-impact: HIGH

Control

The information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed au-10_a organization-defined actions to be covered by non-repudiation organization-defined actions to be covered by non-repudiation [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Types of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).

cf #sc.16

Objectives

Determine if:

[1]	the organization defines actions to be covered by non-repudiation; and

[2]	the information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing non-repudiation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing non-repudiation capability

References: None

AU-11 AUDIT RECORD RETENTION

Parameter: au-11_a organization-defined time period consistent with records retention policy

organization-defined time period consistent with records retention policy

priority: P3

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization retains audit records for au-11_a organization-defined time period consistent with records retention policy organization-defined time period consistent with records retention policy [NO PARAMETER VALUE GIVEN] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.

Supplemental guidance

Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.

Objectives

Determine if the organization:

[1]	defines a time period to retain audit records that is consistent with records retention policy;

[2]

retains audit records for the organization-defined time period consistent with records retention policy to:

[a]	provide support for after-the-fact investigations of security incidents; and

[b]	meet regulatory and organizational information retention requirements.

Assessment: EXAMINE

Audit and accountability policy

audit record retention policy and procedures

security plan

organization-defined retention period for audit records

audit record archives

audit logs

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit record retention responsibilities

organizational personnel with information security responsibilities

system/network administrators

References: None

AU-12 AUDIT GENERATION

Parameter: au-12_a organization-defined information system components

organization-defined information system components

Parameter: au-12_b organization-defined personnel or roles

organization-defined personnel or roles

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.	Provides audit record generation capability for the auditable events defined in AU-2 a. at au-12_a organization-defined information system components organization-defined information system components [NO PARAMETER VALUE GIVEN] ;

b.	Allows au-12_b organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] to select which auditable events are to be audited by specific components of the information system; and

c.	Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.

Supplemental guidance

Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.

Objectives

Determine if:

(a)

[1]	the organization defines the information system components which are to provide audit record generation capability for the auditable events defined in AU-2a;

[2]	the information system provides audit record generation capability, for the auditable events defined in AU-2a, at organization-defined information system components;

(b)

[1]	the organization defines the personnel or roles allowed to select which auditable events are to be audited by specific components of the information system;

[2]	the information system allows the organization-defined personnel or roles to select which auditable events are to be audited by specific components of the system; and

(c)	the information system generates audit records for the events defined in AU-2d with the content in defined in AU-3.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit record generation

security plan

information system design documentation

information system configuration settings and associated documentation

list of auditable events

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit record generation responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing audit record generation capability

References: None

CA-1 SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES

Parameter: ca-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ca-1_b organization-defined frequency

organization-defined frequency

Parameter: ca-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to ca-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and

b.

Reviews and updates the current:

1.	Security assessment and authorization policy ca-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Security assessment and authorization procedures ca-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a security assessment and authorization policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the security assessment and authorization policy is to be disseminated;

[3]	disseminates the security assessment and authorization policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated assessment and authorization controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current security assessment and authorization policy;

[2]	reviews and updates the current security assessment and authorization policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current security assessment and authorization procedures; and

[2]	reviews and updates the current security assessment and authorization procedures with the organization-defined frequency.

Assessment: EXAMINE

Security assessment and authorization policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment and authorization responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-37

NIST Special Publication 800-53A

NIST Special Publication 800-100

CA-2 SECURITY ASSESSMENTS

Parameter: ca-2_a organization-defined frequency

organization-defined frequency

Parameter: ca-2_b organization-defined individuals or roles

organization-defined individuals or roles

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops a security assessment plan that describes the scope of the assessment including:

1.	Security controls and control enhancements under assessment;

2.	Assessment procedures to be used to determine security control effectiveness; and

3.	Assessment environment, assessment team, and assessment roles and responsibilities;

b.

Assesses the security controls in the information system and its environment of operation ca-2_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;

c.	Produces a security assessment report that documents the results of the assessment; and

d.	Provides the results of the security control assessment to ca-2_b organization-defined individuals or roles organization-defined individuals or roles [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.

cf #pm.9

Objectives

Determine if the organization:

(a)

develops a security assessment plan that describes the scope of the assessment including:

(1)	security controls and control enhancements under assessment;

(2)	assessment procedures to be used to determine security control effectiveness;

(3)

[1]	assessment environment;

[2]	assessment team;

[3]	assessment roles and responsibilities;

(b)

[1]	defines the frequency to assess the security controls in the information system and its environment of operation;

[2]	assesses the security controls in the information system with the organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;

(c)	produces a security assessment report that documents the results of the assessment;

(d)

[1]	defines individuals or roles to whom the results of the security control assessment are to be provided; and

[2]	provides the results of the security control assessment to organization-defined individuals or roles.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing security assessment planning

procedures addressing security assessments

security assessment plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting security assessment, security assessment plan development, and/or security assessment reporting

References

Executive Order 13587

FIPS Publication 199

NIST Special Publication 800-37

NIST Special Publication 800-39

NIST Special Publication 800-53A

NIST Special Publication 800-115

NIST Special Publication 800-137

CA-3 SYSTEM INTERCONNECTIONS

Parameter: ca-3_a organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;

b.	Documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and

c.	Reviews and updates Interconnection Security Agreements ca-3_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.

cf #au.16

Objectives

Determine if the organization:

(a)	authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;

(b)

documents, for each interconnection:

[1]	the interface characteristics;

[2]	the security requirements;

[3]	the nature of the information communicated;

(c)

[1]	defines the frequency to review and update Interconnection Security Agreements; and

[2]	reviews and updates Interconnection Security Agreements with the organization-defined frequency.

Assessment: EXAMINE

Access control policy

procedures addressing information system connections

system and communications protection policy

information system Interconnection Security Agreements

security plan

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements

organizational personnel with information security responsibilities

personnel managing the system(s) to which the Interconnection Security Agreement applies

References

FIPS Publication 199

NIST Special Publication 800-47

CA-5 PLAN OF ACTION AND MILESTONES

Parameter: ca-5_a organization-defined frequency

organization-defined frequency

priority: P3

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Develops a plan of action and milestones for the information system to document the organization�s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and

b.	Updates existing plan of action and milestones ca-5_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.

Supplemental guidance

Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.

cf CA-2CA-2CA-2

cf CA-7CA-7CA-7

cf CM-4CM-4CM-4

cf #pm.4

Objectives

Determine if the organization:

(a)

develops a plan of action and milestones for the information system to:

[1]	document the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls;

[2]	reduce or eliminate known vulnerabilities in the system;

(b)

[1]	defines the frequency to update the existing plan of action and milestones;

[2]

updates the existing plan of action and milestones with the organization-defined frequency based on the findings from:

[a]	security controls assessments;

[b]	security impact analyses; and

[c]	continuous monitoring activities.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing plan of action and milestones

security plan

security assessment plan

security assessment report

security assessment evidence

plan of action and milestones

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with plan of action and milestones development and implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms for developing, implementing, and maintaining plan of action and milestones

References

OMB Memorandum 02-01

NIST Special Publication 800-37

CA-6 SECURITY AUTHORIZATION

Parameter: ca-6_a organization-defined frequency

organization-defined frequency

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Assigns a senior-level executive or manager as the authorizing official for the information system;

b.	Ensures that the authorizing official authorizes the information system for processing before commencing operations; and

c.	Updates the security authorization ca-6_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.

cf CA-2CA-2CA-2

cf CA-7CA-7CA-7

cf #pm.9

cf #pm.10

Objectives

Determine if the organization:

(a)	assigns a senior-level executive or manager as the authorizing official for the information system;

(b)	ensures that the authorizing official authorizes the information system for processing before commencing operations;

(c)

[1]	defines the frequency to update the security authorization; and

[2]	updates the security authorization with the organization-defined frequency.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing security authorization

security authorization package (including security plan

security assessment report

plan of action and milestones

authorization statement)

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security authorization responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms that facilitate security authorizations and updates

References

OMB Circular A-130

OMB Memorandum 11-33

NIST Special Publication 800-37

NIST Special Publication 800-137

CA-7 CONTINUOUS MONITORING

Parameter: ca-7_a organization-defined metrics

organization-defined metrics

Parameter: ca-7_b organization-defined frequencies

organization-defined frequencies

Parameter: ca-7_c organization-defined frequencies

organization-defined frequencies

Parameter: ca-7_d organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ca-7_e organization-defined frequency

organization-defined frequency

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:

a.	Establishment of ca-7_a organization-defined metrics organization-defined metrics [NO PARAMETER VALUE GIVEN] to be monitored;

b.	Establishment of ca-7_b organization-defined frequencies organization-defined frequencies [NO PARAMETER VALUE GIVEN] for monitoring and ca-7_c organization-defined frequencies organization-defined frequencies [NO PARAMETER VALUE GIVEN] for assessments supporting such monitoring;

c.	Ongoing security control assessments in accordance with the organizational continuous monitoring strategy;

d.	Ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;

e.	Correlation and analysis of security-related information generated by assessments and monitoring;

f.	Response actions to address results of the analysis of security-related information; and

g.	Reporting the security status of organization and the information system to ca-7_d organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] ca-7_e organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.

cf #pm.6

cf #pm.9

Objectives

Determine if the organization:

(a)

[1]	develops a continuous monitoring strategy that defines metrics to be monitored;

[2]	develops a continuous monitoring strategy that includes monitoring of organization-defined metrics;

[3]	implements a continuous monitoring program that includes monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;

(b)

[1]	develops a continuous monitoring strategy that defines frequencies for monitoring;

[2]	defines frequencies for assessments supporting monitoring;

[3]	develops a continuous monitoring strategy that includes establishment of the organization-defined frequencies for monitoring and for assessments supporting monitoring;

[4]	implements a continuous monitoring program that includes establishment of organization-defined frequencies for monitoring and for assessments supporting such monitoring in accordance with the organizational continuous monitoring strategy;

(c)

[1]	develops a continuous monitoring strategy that includes ongoing security control assessments;

[2]	implements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy;

(d)

[1]	develops a continuous monitoring strategy that includes ongoing security status monitoring of organization-defined metrics;

[2]	implements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;

(e)

[1]	develops a continuous monitoring strategy that includes correlation and analysis of security-related information generated by assessments and monitoring;

[2]	implements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring in accordance with the organizational continuous monitoring strategy;

(f)

[1]	develops a continuous monitoring strategy that includes response actions to address results of the analysis of security-related information;

[2]	implements a continuous monitoring program that includes response actions to address results of the analysis of security-related information in accordance with the organizational continuous monitoring strategy;

(g)

[1]	develops a continuous monitoring strategy that defines the personnel or roles to whom the security status of the organization and information system are to be reported;

[2]	develops a continuous monitoring strategy that defines the frequency to report the security status of the organization and information system to organization-defined personnel or roles;

[3]	develops a continuous monitoring strategy that includes reporting the security status of the organization or information system to organizational-defined personnel or roles with the organization-defined frequency; and

[4]	implements a continuous monitoring program that includes reporting the security status of the organization and information system to organization-defined personnel or roles with the organization-defined frequency in accordance with the organizational continuous monitoring strategy.

Assessment: INTERVIEW

Organizational personnel with continuous monitoring responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Mechanisms implementing continuous monitoring

References

OMB Memorandum 11-33

NIST Special Publication 800-37

NIST Special Publication 800-39

NIST Special Publication 800-53A

NIST Special Publication 800-115

NIST Special Publication 800-137

US-CERT Technical Cyber Security Alerts

DoD Information Assurance Vulnerability Alerts

CA-8 PENETRATION TESTING

Parameter: ca-8_a organization-defined frequency

organization-defined frequency

Parameter: ca-8_b organization-defined information systems or system components

organization-defined information systems or system components

priority: P2

baseline-impact: HIGH

Control

The organization conducts penetration testing ca-8_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] on ca-8_b organization-defined information systems or system components organization-defined information systems or system components [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.

cf SA-12SA-12SA-12

Objectives

Determine if the organization:

[1]	defines information systems or system components on which penetration testing is to be conducted;

[2]	defines the frequency to conduct penetration testing on organization-defined information systems or system components; and

[3]	conducts penetration testing on organization-defined information systems or system components with the organization-defined frequency.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing penetration testing

security plan

security assessment plan

penetration test report

security assessment report

security assessment evidence

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment responsibilities

organizational personnel with information security responsibilities, system/network administrators

Assessment: TEST

Automated mechanisms supporting penetration testing

References: None

CA-9 INTERNAL SYSTEM CONNECTIONS

Parameter: ca-9_a organization-defined information system components or classes of components

organization-defined information system components or classes of components

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Authorizes internal connections of ca-9_a organization-defined information system components or classes of components organization-defined information system components or classes of components [NO PARAMETER VALUE GIVEN] to the information system; and

b.	Documents, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.

Supplemental guidance

This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.

Objectives

Determine if the organization:

(a)

[1]	defines information system components or classes of components to be authorized as internal connections to the information system;

[2]	authorizes internal connections of organization-defined information system components or classes of components to the information system;

(b)

documents, for each internal connection:

[1]	the interface characteristics;

[2]	the security requirements; and

[3]	the nature of the information communicated.

Assessment: INTERVIEW

Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections

organizational personnel with information security responsibilities

References: None

CM-1 CONFIGURATION MANAGEMENT POLICY AND PROCEDURES

Parameter: cm-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: cm-1_b organization-defined frequency

organization-defined frequency

Parameter: cm-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to cm-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and

b.

Reviews and updates the current:

1.	Configuration management policy cm-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Configuration management procedures cm-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a configuration management policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the configuration management policy is to be disseminated;

[3]	disseminates the configuration management policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current configuration management policy;

[2]	reviews and updates the current configuration management policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current configuration management procedures; and

[2]	reviews and updates the current configuration management procedures with the organization-defined frequency.

Assessment: EXAMINE

Configuration management policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

References

NIST Special Publication 800-12

NIST Special Publication 800-100

CM-2 BASELINE CONFIGURATION

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.

Supplemental guidance

This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.

cf #pm.5

cf #pm.7

Objectives

Determine if the organization:

[1]	develops and documents a current baseline configuration of the information system; and

[2]	maintains, under configuration control, a current baseline configuration of the information system.

Assessment: EXAMINE

Configuration management policy

procedures addressing the baseline configuration of the information system

configuration management plan

enterprise architecture documentation

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

change control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing baseline configurations

automated mechanisms supporting configuration control of the baseline configuration

References

NIST Special Publication 800-128

CM-3 CONFIGURATION CHANGE CONTROL

Parameter: cm-3_a organization-defined time period

organization-defined time period

Parameter: cm-3_b organization-defined configuration change control element (e.g., committee, board)

organization-defined configuration change control element (e.g., committee, board)

Parameter: cm-3_c organization-defined frequency

organization-defined frequency

Parameter: cm-3_d organization-defined configuration change conditions

organization-defined configuration change conditions

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Determines the types of changes to the information system that are configuration-controlled;

b.	Reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;

c.	Documents configuration change decisions associated with the information system;

d.	Implements approved configuration-controlled changes to the information system;

e.	Retains records of configuration-controlled changes to the information system for cm-3_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] ;

f.	Audits and reviews activities associated with configuration-controlled changes to the information system; and

g.

Coordinates and provides oversight for configuration change control activities through cm-3_b organization-defined configuration change control element (e.g., committee, board) organization-defined configuration change control element (e.g., committee, board) [NO PARAMETER VALUE GIVEN] that convenes [Selection (one or more): cm-3_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; cm-3_d organization-defined configuration change conditions organization-defined configuration change conditions [NO PARAMETER VALUE GIVEN] ].

Supplemental guidance

Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.

Objectives

Determine if the organization:

(a)	determines the type of changes to the information system that must be configuration-controlled;

(b)	reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;

(c)	documents configuration change decisions associated with the information system;

(d)	implements approved configuration-controlled changes to the information system;

(e)

[1]	defines a time period to retain records of configuration-controlled changes to the information system;

[2]	retains records of configuration-controlled changes to the information system for the organization-defined time period;

(f)	audits and reviews activities associated with configuration-controlled changes to the information system;

(g)

[1]	defines a configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;

[2]	defines the frequency with which the configuration change control element must convene; and/or

[3]	defines configuration change conditions that prompt the configuration change control element to convene; and

[4]	coordinates and provides oversight for configuration change control activities through organization-defined configuration change control element that convenes at organization-defined frequency and/or for any organization-defined configuration change conditions.

Assessment: INTERVIEW

Organizational personnel with configuration change control responsibilities

organizational personnel with information security responsibilities

system/network administrators

members of change control board or similar

Assessment: TEST

Organizational processes for configuration change control

automated mechanisms that implement configuration change control

References

NIST Special Publication 800-128

CM-4 SECURITY IMPACT ANALYSIS

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.

Supplemental guidance

Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.

Objective

Determine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation.

Assessment: EXAMINE

Configuration management policy

procedures addressing security impact analysis for changes to the information system

configuration management plan

security impact analysis documentation

analysis tools and associated outputs

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for conducting security impact analysis

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for security impact analysis

References

NIST Special Publication 800-128

CM-5 ACCESS RESTRICTIONS FOR CHANGE

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.

Supplemental guidance

Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).

cf AC-3AC-3AC-3

cf AC-6AC-6AC-6

cf PE-3PE-3PE-3

Objectives

Determine if the organization:

[1]	defines physical access restrictions associated with changes to the information system;

[2]	documents physical access restrictions associated with changes to the information system;

[3]	approves physical access restrictions associated with changes to the information system;

[4]	enforces physical access restrictions associated with changes to the information system;

[5]	defines logical access restrictions associated with changes to the information system;

[6]	documents logical access restrictions associated with changes to the information system;

[7]	approves logical access restrictions associated with changes to the information system; and

[8]	enforces logical access restrictions associated with changes to the information system.

Assessment: INTERVIEW

Organizational personnel with logical access control responsibilities

organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing access restrictions to change

automated mechanisms supporting/implementing/enforcing access restrictions associated with changes to the information system

References: None

CM-6 CONFIGURATION SETTINGS

Parameter: cm-6_a organization-defined security configuration checklists

organization-defined security configuration checklists

Parameter: cm-6_b organization-defined information system components

organization-defined information system components

Parameter: cm-6_c organization-defined operational requirements

organization-defined operational requirements

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Establishes and documents configuration settings for information technology products employed within the information system using cm-6_a organization-defined security configuration checklists organization-defined security configuration checklists [NO PARAMETER VALUE GIVEN] that reflect the most restrictive mode consistent with operational requirements;

b.	Implements the configuration settings;

c.

Identifies, documents, and approves any deviations from established configuration settings for cm-6_b organization-defined information system components organization-defined information system components [NO PARAMETER VALUE GIVEN] based on cm-6_c organization-defined operational requirements organization-defined operational requirements [NO PARAMETER VALUE GIVEN] ; and

d.	Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.

Supplemental guidance

Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.

Objectives

Determine if the organization:

(a)

[1]	defines security configuration checklists to be used to establish and document configuration settings for the information technology products employed;

[2]	ensures the defined security configuration checklists reflect the most restrictive mode consistent with operational requirements;

[3]	establishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists;

(b)	implements the configuration settings established/documented in CM-6(a);;

(c)

[1]

defines information system components for which any deviations from established configuration settings must be:

[a]	identified;

[b]	documented;

[c]

approved;

[2]

defines operational requirements to support:

[a]	the identification of any deviations from established configuration settings;

[b]	the documentation of any deviations from established configuration settings;

[c]	the approval of any deviations from established configuration settings;

[3]	identifies any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;

[4]	documents any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;

[5]	approves any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;

(d)

[1]	monitors changes to the configuration settings in accordance with organizational policies and procedures; and

[2]	controls changes to the configuration settings in accordance with organizational policies and procedures.

Assessment: INTERVIEW

Organizational personnel with security configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing configuration settings

automated mechanisms that implement, monitor, and/or control information system configuration settings

automated mechanisms that identify and/or document deviations from established configuration settings

References

OMB Memorandum 07-11

OMB Memorandum 07-18

OMB Memorandum 08-22

NIST Special Publication 800-70

NIST Special Publication 800-128

http://nvd.nist.gov

http://checklists.nist.gov

http://www.nsa.gov

CM-7 LEAST FUNCTIONALITY

Parameter: cm-7_a organization-defined prohibited or restricted functions, ports, protocols, and/or services

organization-defined prohibited or restricted functions, ports, protocols, and/or services

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Configures the information system to provide only essential capabilities; and

b.

Prohibits or restricts the use of the following functions, ports, protocols, and/or services: cm-7_a organization-defined prohibited or restricted functions, ports, protocols, and/or services organization-defined prohibited or restricted functions, ports, protocols, and/or services [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.

Objectives

Determine if the organization:

(a)	configures the information system to provide only essential capabilities;

(b)

[1]

defines prohibited or restricted:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services;

[2]

prohibits or restricts the use of organization-defined:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services.

Assessment: EXAMINE

Configuration management policy

configuration management plan

procedures addressing least functionality in the information system

security plan

information system design documentation

information system configuration settings and associated documentation

security configuration checklists

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes prohibiting or restricting functions, ports, protocols, and/or services

automated mechanisms implementing restrictions or prohibition of functions, ports, protocols, and/or services

References

DoD Instruction 8551.01

CM-8 INFORMATION SYSTEM COMPONENT INVENTORY

Parameter: cm-8_a organization-defined information deemed necessary to achieve effective information system component accountability

organization-defined information deemed necessary to achieve effective information system component accountability

Parameter: cm-8_b organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops and documents an inventory of information system components that:

1.	Accurately reflects the current information system;

2.	Includes all components within the authorization boundary of the information system;

3.	Is at the level of granularity deemed necessary for tracking and reporting; and

4.	Includes cm-8_a organization-defined information deemed necessary to achieve effective information system component accountability organization-defined information deemed necessary to achieve effective information system component accountability [NO PARAMETER VALUE GIVEN] ; and

b.	Reviews and updates the information system component inventory cm-8_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.

cf CM-2CM-2CM-2

cf CM-6CM-6CM-6

cf #pm.5

Objectives

Determine if the organization:

(a)

(1)	develops and documents an inventory of information system components that accurately reflects the current information system;

(2)	develops and documents an inventory of information system components that includes all components within the authorization boundary of the information system;

(3)	develops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting;

(4)

[1]	defines the information deemed necessary to achieve effective information system component accountability;

[2]	develops and documents an inventory of information system components that includes organization-defined information deemed necessary to achieve effective information system component accountability;

(b)

[1]	defines the frequency to review and update the information system component inventory; and

[2]	reviews and updates the information system component inventory with the organization-defined frequency.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

security plan

information system inventory records

inventory reviews and update records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system component inventory

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for developing and documenting an inventory of information system components

automated mechanisms supporting and/or implementing the information system component inventory

References

NIST Special Publication 800-128

CM-9 CONFIGURATION MANAGEMENT PLAN

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization develops, documents, and implements a configuration management plan for the information system that:

a.	Addresses roles, responsibilities, and configuration management processes and procedures;

b.	Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;

c.	Defines the configuration items for the information system and places the configuration items under configuration management; and

d.	Protects the configuration management plan from unauthorized disclosure and modification.

Supplemental guidance

Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.

Objectives

Determine if the organization develops, documents, and implements a configuration management plan for the information system that:

(a)

[1]	addresses roles;

[2]	addresses responsibilities;

[3]	addresses configuration management processes and procedures;

(b)

establishes a process for:

[1]	identifying configuration items throughout the SDLC;

[2]	managing the configuration of the configuration items;

(c)

[1]	defines the configuration items for the information system;

[2]	places the configuration items under configuration management;

(d)

protects the configuration management plan from unauthorized:

[1]	disclosure; and

[2]	modification.

Assessment: EXAMINE

Configuration management policy

procedures addressing configuration management planning

configuration management plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for developing the configuration management plan

organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan

organizational personnel with responsibilities for protecting the configuration management plan

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for developing and documenting the configuration management plan

organizational processes for identifying and managing configuration items

organizational processes for protecting the configuration management plan

automated mechanisms implementing the configuration management plan

automated mechanisms for managing configuration items

automated mechanisms for protecting the configuration management plan

References

NIST Special Publication 800-128

CM-10 SOFTWARE USAGE RESTRICTIONS

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Uses software and associated documentation in accordance with contract agreements and copyright laws;

b.	Tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and

c.	Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

Supplemental guidance

Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.

cf AC-17AC-17AC-17

cf CM-8CM-8CM-8

cf SC-7SC-7SC-7

Objectives

Determine if the organization:

(a)	uses software and associated documentation in accordance with contract agreements and copyright laws;

(b)	tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and

(c)	controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

Assessment: EXAMINE

Configuration management policy

procedures addressing software usage restrictions

configuration management plan

security plan

software contract agreements and copyright laws

site license documentation

list of software usage restrictions

software license tracking reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

organizational personnel operating, using, and/or maintaining the information system

organizational personnel with software license management responsibilities

Assessment: TEST

Organizational process for tracking the use of software protected by quantity licenses

organization process for controlling/documenting the use of peer-to-peer file sharing technology

automated mechanisms implementing software license tracking

automated mechanisms implementing and controlling the use of peer-to-peer files sharing technology

References: None

CM-11 USER-INSTALLED SOFTWARE

Parameter: cm-11_a organization-defined policies

organization-defined policies

Parameter: cm-11_b organization-defined methods

organization-defined methods

Parameter: cm-11_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Establishes cm-11_a organization-defined policies organization-defined policies [NO PARAMETER VALUE GIVEN] governing the installation of software by users;

b.	Enforces software installation policies through cm-11_b organization-defined methods organization-defined methods [NO PARAMETER VALUE GIVEN] ; and

c.	Monitors policy compliance at cm-11_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved �app stores.� Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.

Objectives

Determine if the organization:

(a)

[1]	defines policies to govern the installation of software by users;

[2]	establishes organization-defined policies governing the installation of software by users;

(b)

[1]	defines methods to enforce software installation policies;

[2]	enforces software installation policies through organization-defined methods;

(c)

[1]	defines frequency to monitor policy compliance; and

[2]	monitors policy compliance at organization-defined frequency.

Assessment: INTERVIEW

Organizational personnel with responsibilities for governing user-installed software

organizational personnel operating, using, and/or maintaining the information system

organizational personnel monitoring compliance with user-installed software policy

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes governing user-installed software on the information system

automated mechanisms enforcing rules/methods for governing the installation of software by users

automated mechanisms monitoring policy compliance

References: None

CP-1 CONTINGENCY PLANNING POLICY AND PROCEDURES

Parameter: cp-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: cp-1_b organization-defined frequency

organization-defined frequency

Parameter: cp-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to cp-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and

b.

Reviews and updates the current:

1.	Contingency planning policy cp-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Contingency planning procedures cp-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if:

(a)(1)

[1]

the organization develops and documents a contingency planning policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	the organization defines personnel or roles to whom the contingency planning policy is to be disseminated;

[3]	the organization disseminates the contingency planning policy to organization-defined personnel or roles;

(a)(2)

[1]	the organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls;

[2]	the organization defines personnel or roles to whom the procedures are to be disseminated;

[3]	the organization disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	the organization defines the frequency to review and update the current contingency planning policy;

[2]	the organization reviews and updates the current contingency planning with the organization-defined frequency;

(b)(2)

[1]	the organization defines the frequency to review and update the current contingency planning procedures; and

[2]	the organization reviews and updates the current contingency planning procedures with the organization-defined frequency.

Assessment: EXAMINE

Contingency planning policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning responsibilities

organizational personnel with information security responsibilities

References

Federal Continuity Directive 1

NIST Special Publication 800-12

NIST Special Publication 800-34

NIST Special Publication 800-100

CP-2 CONTINGENCY PLAN

Parameter: cp-2_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: cp-2_b organization-defined key contingency personnel (identified by name and/or by role) and organizational elements

organization-defined key contingency personnel (identified by name and/or by role) and organizational elements

Parameter: cp-2_c organization-defined frequency

organization-defined frequency

Parameter: cp-2_d organization-defined key contingency personnel (identified by name and/or by role) and organizational elements

organization-defined key contingency personnel (identified by name and/or by role) and organizational elements

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops a contingency plan for the information system that:

1.	Identifies essential missions and business functions and associated contingency requirements;

2.	Provides recovery objectives, restoration priorities, and metrics;

3.	Addresses contingency roles, responsibilities, assigned individuals with contact information;

4.	Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;

5.	Addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and

6.	Is reviewed and approved by cp-2_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] ;

b.

Distributes copies of the contingency plan to cp-2_b organization-defined key contingency personnel (identified by name and/or by role) and organizational elements organization-defined key contingency personnel (identified by name and/or by role) and organizational elements [NO PARAMETER VALUE GIVEN] ;

c.	Coordinates contingency planning activities with incident handling activities;

d.	Reviews the contingency plan for the information system cp-2_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ;

e.	Updates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;

f.

Communicates contingency plan changes to cp-2_d organization-defined key contingency personnel (identified by name and/or by role) and organizational elements organization-defined key contingency personnel (identified by name and/or by role) and organizational elements [NO PARAMETER VALUE GIVEN] ; and

g.	Protects the contingency plan from unauthorized disclosure and modification.

Supplemental guidance

Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.

cf #pm.8

cf #pm.11

Objectives

Determine if the organization:

(a)

develops and documents a contingency plan for the information system that:

(1)	identifies essential missions and business functions and associated contingency requirements;

(2)

[1]	provides recovery objectives;

[2]	provides restoration priorities;

[3]	provides metrics;

(3)

[1]	addresses contingency roles;

[2]	addresses contingency responsibilities;

[3]	addresses assigned individuals with contact information;

(4)	addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;

(5)	addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented;

(6)

[1]	defines personnel or roles to review and approve the contingency plan for the information system;

[2]	is reviewed and approved by organization-defined personnel or roles;

(b)

[1]	defines key contingency personnel (identified by name and/or by role) and organizational elements to whom copies of the contingency plan are to be distributed;

[2]	distributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements;

(c)	coordinates contingency planning activities with incident handling activities;

(d)

[1]	defines a frequency to review the contingency plan for the information system;

[2]	reviews the contingency plan with the organization-defined frequency;

(e)

updates the contingency plan to address:

[1]	changes to the organization, information system, or environment of operation;

[2]	problems encountered during plan implementation, execution, and testing;

(f)

[1]	defines key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated;

[2]	communicates contingency plan changes to organization-defined key contingency personnel and organizational elements; and

(g)	protects the contingency plan from unauthorized disclosure and modification.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

security plan

evidence of contingency plan reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency plan development, review, update, and protection

automated mechanisms for developing, reviewing, updating and/or protecting the contingency plan

References

Federal Continuity Directive 1

NIST Special Publication 800-34

CP-3 CONTINGENCY TRAINING

Parameter: cp-3_a organization-defined time period

organization-defined time period

Parameter: cp-3_b organization-defined frequency

organization-defined frequency

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization provides contingency training to information system users consistent with assigned roles and responsibilities:

a.	Within cp-3_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] of assuming a contingency role or responsibility;

b.	When required by information system changes; and

c.	cp-3_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] thereafter.

Supplemental guidance

Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.

Objectives

Determine if the organization:

(a)

[1]	defines a time period within which contingency training is to be provided to information system users assuming a contingency role or responsibility;

[2]	provides contingency training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming a contingency role or responsibility;

(b)	provides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes;

(c)

[1]	defines the frequency for contingency training thereafter; and

[2]	provides contingency training to information system users consistent with assigned roles and responsibilities with the organization-defined frequency thereafter.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency training

contingency plan

contingency training curriculum

contingency training material

security plan

contingency training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning, plan implementation, and training responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency training

References

Federal Continuity Directive 1

NIST Special Publication 800-16

NIST Special Publication 800-50

CP-4 CONTINGENCY PLAN TESTING

Parameter: cp-4_a organization-defined frequency

organization-defined frequency

Parameter: cp-4_b organization-defined tests

organization-defined tests

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Tests the contingency plan for the information system cp-4_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] using cp-4_b organization-defined tests organization-defined tests [NO PARAMETER VALUE GIVEN] to determine the effectiveness of the plan and the organizational readiness to execute the plan;

b.	Reviews the contingency plan test results; and

c.	Initiates corrective actions, if needed.

Supplemental guidance

Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.

cf CP-2CP-2CP-2

cf CP-3CP-3CP-3

cf IR-3IR-3IR-3

Objectives

Determine if the organization:

(a)

[1]	defines tests to determine the effectiveness of the contingency plan and the organizational readiness to execute the plan;

[2]	defines a frequency to test the contingency plan for the information system;

[3]	tests the contingency plan for the information system with the organization-defined frequency, using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;

(b)	reviews the contingency plan test results; and

(c)	initiates corrective actions, if needed.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency plan testing

contingency plan

security plan

contingency plan test documentation

contingency plan test results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency plan testing

automated mechanisms supporting the contingency plan and/or contingency plan testing

References

Federal Continuity Directive 1

FIPS Publication 199

NIST Special Publication 800-34

NIST Special Publication 800-84

CP-6 ALTERNATE STORAGE SITE

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and

b.	Ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.

Supplemental guidance

Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.

Objectives

Determine if the organization:

[1]	establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and

[2]	ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate storage sites

contingency plan

alternate storage site agreements

primary storage site agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan alternate storage site responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for storing and retrieving information system backup information at the alternate storage site

automated mechanisms supporting and/or implementing storage and retrieval of information system backup information at the alternate storage site

References

NIST Special Publication 800-34

CP-7 ALTERNATE PROCESSING SITE

Parameter: cp-7_a organization-defined information system operations

organization-defined information system operations

Parameter: cp-7_b organization-defined time period consistent with recovery time and recovery point objectives

organization-defined time period consistent with recovery time and recovery point objectives

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Establishes an alternate processing site including necessary agreements to permit the transfer and resumption of cp-7_a organization-defined information system operations organization-defined information system operations [NO PARAMETER VALUE GIVEN] for essential missions/business functions within cp-7_b organization-defined time period consistent with recovery time and recovery point objectives organization-defined time period consistent with recovery time and recovery point objectives [NO PARAMETER VALUE GIVEN] when the primary processing capabilities are unavailable;

b.	Ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and

c.	Ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.

Supplemental guidance

Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.

Objectives

Determine if the organization:

(a)

[1]	defines information system operations requiring an alternate processing site to be established to permit the transfer and resumption of such operations;

[2]	defines the time period consistent with recovery time objectives and recovery point objectives (as specified in the information system contingency plan) for transfer/resumption of organization-defined information system operations for essential missions/business functions;

[3]

establishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions, within the organization-defined time period, when the primary processing capabilities are unavailable;

(b)

[1]	ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site; or

[2]	ensures that contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and

(c)	ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate processing sites

contingency plan

alternate processing site agreements

primary processing site agreements

spare equipment and supplies inventory at alternate processing site

equipment and supply contracts

service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for recovery at the alternate site

automated mechanisms supporting and/or implementing recovery at the alternate processing site

References

NIST Special Publication 800-34

CP-8 TELECOMMUNICATIONS SERVICES

Parameter: cp-8_a organization-defined information system operations

organization-defined information system operations

Parameter: cp-8_b organization-defined time period

organization-defined time period

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of cp-8_a organization-defined information system operations organization-defined information system operations [NO PARAMETER VALUE GIVEN] for essential missions and business functions within cp-8_b organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

Supplemental guidance

This control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.

cf CP-2CP-2CP-2

cf CP-6CP-6CP-6

cf CP-7CP-7CP-7

Objectives

Determine if the organization:

[1]	defines information system operations requiring alternate telecommunications services to be established to permit the resumption of such operations;

[2]	defines the time period to permit resumption of organization-defined information system operations for essential missions and business functions; and

[3]

establishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions, within the organization-defined time period, when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate telecommunications services

contingency plan

primary and alternate telecommunications service agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan telecommunications responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for acquisitions/contractual agreements

Assessment: TEST

Automated mechanisms supporting telecommunications

References

NIST Special Publication 800-34

National Communications Systems Directive 3-10

http://www.dhs.gov/telecommunications-service-priority-tsp

CP-9 INFORMATION SYSTEM BACKUP

Parameter: cp-9_a organization-defined frequency consistent with recovery time and recovery point objectives

organization-defined frequency consistent with recovery time and recovery point objectives

Parameter: cp-9_b organization-defined frequency consistent with recovery time and recovery point objectives

organization-defined frequency consistent with recovery time and recovery point objectives

Parameter: cp-9_c organization-defined frequency consistent with recovery time and recovery point objectives

organization-defined frequency consistent with recovery time and recovery point objectives

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Conducts backups of user-level information contained in the information system cp-9_a organization-defined frequency consistent with recovery time and recovery point objectives organization-defined frequency consistent with recovery time and recovery point objectives [NO PARAMETER VALUE GIVEN] ;

b.	Conducts backups of system-level information contained in the information system cp-9_b organization-defined frequency consistent with recovery time and recovery point objectives organization-defined frequency consistent with recovery time and recovery point objectives [NO PARAMETER VALUE GIVEN] ;

c.

Conducts backups of information system documentation including security-related documentation cp-9_c organization-defined frequency consistent with recovery time and recovery point objectives organization-defined frequency consistent with recovery time and recovery point objectives [NO PARAMETER VALUE GIVEN] ; and

d.	Protects the confidentiality, integrity, and availability of backup information at storage locations.

Supplemental guidance

System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.

Objectives

Determine if the organization:

(a)

[1]	defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of user-level information contained in the information system;

[2]	conducts backups of user-level information contained in the information system with the organization-defined frequency;

(b)

[1]	defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of system-level information contained in the information system;

[2]	conducts backups of system-level information contained in the information system with the organization-defined frequency;

(c)

[1]	defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of information system documentation including security-related documentation;

[2]	conducts backups of information system documentation, including security-related documentation, with the organization-defined frequency; and

(d)	protects the confidentiality, integrity, and availability of backup information at storage locations.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

backup storage location(s)

information system backup logs or records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system backup responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for conducting information system backups

automated mechanisms supporting and/or implementing information system backups

References

NIST Special Publication 800-34

CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.

Supplemental guidance

Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.

Objectives

Determine if the organization provides for:

[1]

the recovery of the information system to a known state after:

[a]	a disruption;

[b]	a compromise; or

[c]	a failure;

[2]

the reconstitution of the information system to a known state after:

[a]	a disruption;

[b]	a compromise; or

[c]	a failure.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

information system backup test results

contingency plan test results

contingency plan test documentation

redundant secondary system for information system backups

location(s) of redundant secondary backup system(s)

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes implementing information system recovery and reconstitution operations

automated mechanisms supporting and/or implementing information system recovery and reconstitution operations

References

Federal Continuity Directive 1

NIST Special Publication 800-34

IA-1 IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES

Parameter: ia-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ia-1_b organization-defined frequency

organization-defined frequency

Parameter: ia-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to ia-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	An identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and

b.

Reviews and updates the current:

1.	Identification and authentication policy ia-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Identification and authentication procedures ia-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an identification and authentication policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the identification and authentication policy is to be disseminated; and

[3]	disseminates the identification and authentication policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current identification and authentication policy;

[2]	reviews and updates the current identification and authentication policy with the organization-defined frequency; and

(b)(2)

[1]	defines the frequency to review and update the current identification and authentication procedures; and

[2]	reviews and updates the current identification and authentication procedures with the organization-defined frequency.

Assessment: EXAMINE

Identification and authentication policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identification and authentication responsibilities

organizational personnel with information security responsibilities

References

FIPS Publication 201

NIST Special Publication 800-12

NIST Special Publication 800-63

NIST Special Publication 800-73

NIST Special Publication 800-76

NIST Special Publication 800-78

NIST Special Publication 800-100

IA-2 IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).

Supplemental guidance

Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.

Objective

Determine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

organizational personnel with account management responsibilities

system developers

Assessment: TEST

Organizational processes for uniquely identifying and authenticating users

automated mechanisms supporting and/or implementing identification and authentication capability

References

HSPD-12

OMB Memorandum 04-04

OMB Memorandum 06-16

OMB Memorandum 11-11

FIPS Publication 201

NIST Special Publication 800-63

NIST Special Publication 800-73

NIST Special Publication 800-76

NIST Special Publication 800-78

FICAM Roadmap and Implementation Guidance

http://idmanagement.gov

IA-3 DEVICE IDENTIFICATION AND AUTHENTICATION

Parameter: ia-3_a organization-defined specific and/or types of devices

organization-defined specific and/or types of devices

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system uniquely identifies and authenticates ia-3_a organization-defined specific and/or types of devices organization-defined specific and/or types of devices [NO PARAMETER VALUE GIVEN] before establishing a [Selection (one or more): local; remote; network] connection.

Supplemental guidance

Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.

Objectives

Determine if:

[1]

the organization defines specific and/or types of devices that the information system uniquely identifies and authenticates before establishing one or more of the following:

[a]	a local connection;

[b]	a remote connection; and/or

[c]	a network connection; and

[2]

the information system uniquely identifies and authenticates organization-defined devices before establishing one or more of the following:

[a]	a local connection;

[b]	a remote connection; and/or

[c]	a network connection.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing device identification and authentication

information system design documentation

list of devices requiring unique identification and authentication

device connection reports

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with operational responsibilities for device identification and authentication

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing device identification and authentication capability

References: None

IA-4 IDENTIFIER MANAGEMENT

Parameter: ia-4_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ia-4_b organization-defined time period

organization-defined time period

Parameter: ia-4_c organization-defined time period of inactivity

organization-defined time period of inactivity

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization manages information system identifiers by:

a.	Receiving authorization from ia-4_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] to assign an individual, group, role, or device identifier;

b.	Selecting an identifier that identifies an individual, group, role, or device;

c.	Assigning the identifier to the intended individual, group, role, or device;

d.	Preventing reuse of identifiers for ia-4_b organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] ; and

e.	Disabling the identifier after ia-4_c organization-defined time period of inactivity organization-defined time period of inactivity [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.

cf #sc.37

Objectives

Determine if the organization manages information system identifiers by:

(a)

[1]

defining personnel or roles from whom authorization must be received to assign:

[a]	an individual identifier;

[b]	a group identifier;

[c]	a role identifier; and/or

[d]	a device identifier;

[2]

receiving authorization from organization-defined personnel or roles to assign:

[a]	an individual identifier;

[b]	a group identifier;

[c]	a role identifier; and/or

[d]	a device identifier;

(b)

selecting an identifier that identifies:

[1]	an individual;

[2]

a group;

[3]	a role; and/or

[4]

a device;

(c)

assigning the identifier to the intended:

[1]	individual;

[2]

group;

[3]	role; and/or

[4]

device;

(d)

[1]	defining a time period for preventing reuse of identifiers;

[2]	preventing reuse of identifiers for the organization-defined time period;

(e)

[1]	defining a time period of inactivity to disable the identifier; and

[2]	disabling the identifier after the organization-defined time period of inactivity.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

procedures addressing account management

security plan

information system design documentation

information system configuration settings and associated documentation

list of information system accounts

list of identifiers generated from physical access control devices

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing identifier management

References

FIPS Publication 201

NIST Special Publication 800-73

NIST Special Publication 800-76

NIST Special Publication 800-78

IA-5 AUTHENTICATOR MANAGEMENT

Parameter: ia-5_a organization-defined time period by authenticator type

organization-defined time period by authenticator type

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization manages information system authenticators by:

a.	Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;

b.	Establishing initial authenticator content for authenticators defined by the organization;

c.	Ensuring that authenticators have sufficient strength of mechanism for their intended use;

d.	Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;

e.	Changing default content of authenticators prior to information system installation;

f.	Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;

g.	Changing/refreshing authenticators ia-5_a organization-defined time period by authenticator type organization-defined time period by authenticator type [NO PARAMETER VALUE GIVEN] ;

h.	Protecting authenticator content from unauthorized disclosure and modification;

i.	Requiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and

j.	Changing authenticators for group/role accounts when membership to those accounts changes.

Supplemental guidance

Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.

Objectives

Determine if the organization manages information system authenticators by:

(a)

verifying, as part of the initial authenticator distribution, the identity of:

[1]	the individual receiving the authenticator;

[2]	the group receiving the authenticator;

[3]	the role receiving the authenticator; and/or

[4]	the device receiving the authenticator;

(b)	establishing initial authenticator content for authenticators defined by the organization;

(c)	ensuring that authenticators have sufficient strength of mechanism for their intended use;

(d)

[1]	establishing and implementing administrative procedures for initial authenticator distribution;

[2]	establishing and implementing administrative procedures for lost/compromised or damaged authenticators;

[3]	establishing and implementing administrative procedures for revoking authenticators;

(e)	changing default content of authenticators prior to information system installation;

(f)

[1]	establishing minimum lifetime restrictions for authenticators;

[2]	establishing maximum lifetime restrictions for authenticators;

[3]	establishing reuse conditions for authenticators;

(g)

[1]	defining a time period (by authenticator type) for changing/refreshing authenticators;

[2]	changing/refreshing authenticators with the organization-defined time period by authenticator type;

(h)

protecting authenticator content from unauthorized:

[1]	disclosure;

[2]	modification;

(i)

[1]	requiring individuals to take specific security safeguards to protect authenticators;

[2]	having devices implement specific security safeguards to protect authenticators; and

(j)	changing authenticators for group/role accounts when membership to those accounts changes.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

information system design documentation

information system configuration settings and associated documentation

list of information system authenticator types

change control records associated with managing information system authenticators

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing authenticator management capability

References

OMB Memorandum 04-04

OMB Memorandum 11-11

FIPS Publication 201

NIST Special Publication 800-73

NIST Special Publication 800-63

NIST Special Publication 800-76

NIST Special Publication 800-78

FICAM Roadmap and Implementation Guidance

http://idmanagement.gov

IA-6 AUTHENTICATOR FEEDBACK

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.

Supplemental guidance

The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.

cf PE-18PE-18PE-18

Objective

Determine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator feedback

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication

References: None

IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.

Supplemental guidance

Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.

cf SC-12SC-12SC-12

cf SC-13SC-13SC-13

Objective

Determine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing cryptographic module authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for cryptographic module authentication

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing cryptographic module authentication

References

FIPS Publication 140

http://csrc.nist.gov/groups/STM/cmvp/index.html

IA-8 IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).

Supplemental guidance

Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.

Objective

Determine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

organizational personnel with account management responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

References

OMB Memorandum 04-04

OMB Memorandum 11-11

OMB Memorandum 10-06-2011

FICAM Roadmap and Implementation Guidance

FIPS Publication 201

NIST Special Publication 800-63

NIST Special Publication 800-116

National Strategy for Trusted Identities in Cyberspace

http://idmanagement.gov

IR-1 INCIDENT RESPONSE POLICY AND PROCEDURES

Parameter: ir-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ir-1_b organization-defined frequency

organization-defined frequency

Parameter: ir-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to ir-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the incident response policy and associated incident response controls; and

b.

Reviews and updates the current:

1.	Incident response policy ir-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Incident response procedures ir-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an incident response policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the incident response policy is to be disseminated;

[3]	disseminates the incident response policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current incident response policy;

[2]	reviews and updates the current incident response policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current incident response procedures; and

[2]	reviews and updates the current incident response procedures with the organization-defined frequency.

Assessment: EXAMINE

Incident response policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-61

NIST Special Publication 800-83

NIST Special Publication 800-100

IR-2 INCIDENT RESPONSE TRAINING

Parameter: ir-2_a organization-defined time period

organization-defined time period

Parameter: ir-2_b organization-defined frequency

organization-defined frequency

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization provides incident response training to information system users consistent with assigned roles and responsibilities:

a.	Within ir-2_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] of assuming an incident response role or responsibility;

b.	When required by information system changes; and

c.	ir-2_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] thereafter.

Supplemental guidance

Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.

cf AT-3AT-3AT-3

cf CP-3CP-3CP-3

cf IR-8IR-8IR-8

Objectives

Determine if the organization:

(a)

[1]	defines a time period within which incident response training is to be provided to information system users assuming an incident response role or responsibility;

[2]	provides incident response training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming an incident response role or responsibility;

(b)	provides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes;

(c)

[1]	defines the frequency to provide refresher incident response training to information system users consistent with assigned roles or responsibilities; and

[2]	after the initial incident response training, provides refresher incident response training to information system users consistent with assigned roles and responsibilities in accordance with the organization-defined frequency to provide refresher training.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response training

incident response training curriculum

incident response training materials

security plan

incident response plan

security plan

incident response training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response training and operational responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-16

NIST Special Publication 800-50

IR-3 INCIDENT RESPONSE TESTING

Parameter: ir-3_a organization-defined frequency

organization-defined frequency

Parameter: ir-3_b organization-defined tests

organization-defined tests

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization tests the incident response capability for the information system ir-3_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] using ir-3_b organization-defined tests organization-defined tests [NO PARAMETER VALUE GIVEN] to determine the incident response effectiveness and documents the results.

Supplemental guidance

Organizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.

cf CP-4CP-4CP-4

cf IR-8IR-8IR-8

Objectives

Determine if the organization:

[1]	defines incident response tests to test the incident response capability for the information system;

[2]	defines the frequency to test the incident response capability for the information system; and

[3]	tests the incident response capability for the information system with the organization-defined frequency, using organization-defined tests to determine the incident response effectiveness and documents the results.

Assessment: INTERVIEW

Organizational personnel with incident response testing responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-84

NIST Special Publication 800-115

IR-4 INCIDENT HANDLING

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;

b.	Coordinates incident handling activities with contingency planning activities; and

c.	Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implements the resulting changes accordingly.

Supplemental guidance

Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).

Objectives

Determine if the organization:

(a)

implements an incident handling capability for security incidents that includes:

[1]	preparation;

[2]	detection and analysis;

[3]	containment;

[4]	eradication;

[5]

recovery;

(b)	coordinates incident handling activities with contingency planning activities;

(c)

[1]

incorporates lessons learned from ongoing incident handling activities into:

[a]	incident response procedures;

[b]

training;

[c]	testing/exercises;

[2]

implements the resulting changes accordingly to:

[a]	incident response procedures;

[b]	training; and

[c]	testing/exercises.

Assessment: EXAMINE

Incident response policy

contingency planning policy

procedures addressing incident handling

incident response plan

contingency plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with contingency planning responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Incident handling capability for the organization

References

Executive Order 13587

NIST Special Publication 800-61

IR-5 INCIDENT MONITORING

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization tracks and documents information system security incidents.

Supplemental guidance

Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.

Objectives

Determine if the organization:

[1]	tracks information system security incidents; and

[2]	documents information system security incidents.

Assessment: EXAMINE

Incident response policy

procedures addressing incident monitoring

incident response records and documentation

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident monitoring responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Incident monitoring capability for the organization

automated mechanisms supporting and/or implementing tracking and documenting of system security incidents

References

NIST Special Publication 800-61

IR-6 INCIDENT REPORTING

Parameter: ir-6_a organization-defined time period

organization-defined time period

Parameter: ir-6_b organization-defined authorities

organization-defined authorities

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Requires personnel to report suspected security incidents to the organizational incident response capability within ir-6_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] ; and

b.	Reports security incident information to ir-6_b organization-defined authorities organization-defined authorities [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.

cf IR-4IR-4IR-4

cf IR-5IR-5IR-5

cf IR-8IR-8IR-8

Objectives

Determine if the organization:

(a)

[1]	defines the time period within which personnel report suspected security incidents to the organizational incident response capability;

[2]	requires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period;

(b)

[1]	defines authorities to whom security incident information is to be reported; and

[2]	reports security incident information to organization-defined authorities.

Assessment: EXAMINE

Incident response policy

procedures addressing incident reporting

incident reporting records and documentation

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident reporting responsibilities

organizational personnel with information security responsibilities

personnel who have/should have reported incidents

personnel (authorities) to whom incident information is to be reported

Assessment: TEST

Organizational processes for incident reporting

automated mechanisms supporting and/or implementing incident reporting

References

NIST Special Publication 800-61

http://www.us-cert.gov

IR-7 INCIDENT RESPONSE ASSISTANCE

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.

Supplemental guidance

Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.

Objectives

Determine if the organization provides an incident response support resource:

[1]	that is integral to the organizational incident response capability; and

[2]	that offers advice and assistance to users of the information system for the handling and reporting of security incidents.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response assistance

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response assistance and support responsibilities

organizational personnel with access to incident response support and assistance capability

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for incident response assistance

automated mechanisms supporting and/or implementing incident response assistance

References: None

IR-8 INCIDENT RESPONSE PLAN

Parameter: ir-8_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ir-8_b organization-defined incident response personnel (identified by name and/or by role) and organizational elements

organization-defined incident response personnel (identified by name and/or by role) and organizational elements

Parameter: ir-8_c organization-defined frequency

organization-defined frequency

Parameter: ir-8_d organization-defined incident response personnel (identified by name and/or by role) and organizational elements

organization-defined incident response personnel (identified by name and/or by role) and organizational elements

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops an incident response plan that:

1.	Provides the organization with a roadmap for implementing its incident response capability;

2.	Describes the structure and organization of the incident response capability;

3.	Provides a high-level approach for how the incident response capability fits into the overall organization;

4.	Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;

5.	Defines reportable incidents;

6.	Provides metrics for measuring the incident response capability within the organization;

7.	Defines the resources and management support needed to effectively maintain and mature an incident response capability; and

8.	Is reviewed and approved by ir-8_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] ;

b.

Distributes copies of the incident response plan to ir-8_b organization-defined incident response personnel (identified by name and/or by role) and organizational elements organization-defined incident response personnel (identified by name and/or by role) and organizational elements [NO PARAMETER VALUE GIVEN] ;

c.	Reviews the incident response plan ir-8_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ;

d.	Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;

e.

Communicates incident response plan changes to ir-8_d organization-defined incident response personnel (identified by name and/or by role) and organizational elements organization-defined incident response personnel (identified by name and/or by role) and organizational elements [NO PARAMETER VALUE GIVEN] ; and

f.	Protects the incident response plan from unauthorized disclosure and modification.

Supplemental guidance

It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.

cf MP-2MP-2MP-2

cf MP-4MP-4MP-4

cf MP-5MP-5MP-5

Objectives

Determine if the organization:

(a)

develops an incident response plan that:

(1)	provides the organization with a roadmap for implementing its incident response capability;

(2)	describes the structure and organization of the incident response capability;

(3)	provides a high-level approach for how the incident response capability fits into the overall organization;

(4)

meets the unique requirements of the organization, which relate to:

[1]

mission;

[2]

size;

[3]	structure;

[4]	functions;

(5)	defines reportable incidents;

(6)	provides metrics for measuring the incident response capability within the organization;

(7)	defines the resources and management support needed to effectively maintain and mature an incident response capability;

(8)

[1]	defines personnel or roles to review and approve the incident response plan;

[2]	is reviewed and approved by organization-defined personnel or roles;

(b)

[1]

[a]	defines incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed;

[b]	defines organizational elements to whom copies of the incident response plan are to be distributed;

[2]	distributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;

(c)

[1]	defines the frequency to review the incident response plan;

[2]	reviews the incident response plan with the organization-defined frequency;

(d)

updates the incident response plan to address system/organizational changes or problems encountered during plan:

[1]	implementation;

[2]	execution; or

[3]

testing;

(e)

[1]

[a]	defines incident response personnel (identified by name and/or by role) to whom incident response plan changes are to be communicated;

[b]	defines organizational elements to whom incident response plan changes are to be communicated;

[2]	communicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and

(f)	protects the incident response plan from unauthorized disclosure and modification.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response planning

incident response plan

records of incident response plan reviews and approvals

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response planning responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational incident response plan and related organizational processes

References

NIST Special Publication 800-61

MA-1 SYSTEM MAINTENANCE POLICY AND PROCEDURES

Parameter: ma-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ma-1_b organization-defined frequency

organization-defined frequency

Parameter: ma-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to ma-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and

b.

Reviews and updates the current:

1.	System maintenance policy ma-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	System maintenance procedures ma-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a system maintenance policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the system maintenance policy is to be disseminated;

[3]	disseminates the system maintenance policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the maintenance policy and associated system maintenance controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current system maintenance policy;

[2]	reviews and updates the current system maintenance policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current system maintenance procedures; and

[2]	reviews and updates the current system maintenance procedures with the organization-defined frequency.

Assessment: EXAMINE

Maintenance policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with maintenance responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-100

MA-2 CONTROLLED MAINTENANCE

Parameter: ma-2_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ma-2_b organization-defined maintenance-related information

organization-defined maintenance-related information

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;

b.	Approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;

c.	Requires that ma-2_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;

d.	Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;

e.	Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and

f.	Includes ma-2_b organization-defined maintenance-related information organization-defined maintenance-related information [NO PARAMETER VALUE GIVEN] in organizational maintenance records.

Supplemental guidance

This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.

Objectives

Determine if the organization:

(a)

[1]

schedules maintenance and repairs on information system components in accordance with:

[a]	manufacturer or vendor specifications; and/or

[b]	organizational requirements;

[2]

performs maintenance and repairs on information system components in accordance with:

[a]	manufacturer or vendor specifications; and/or

[b]	organizational requirements;

[3]

documents maintenance and repairs on information system components in accordance with:

[a]	manufacturer or vendor specifications; and/or

[b]	organizational requirements;

[4]

reviews records of maintenance and repairs on information system components in accordance with:

[a]	manufacturer or vendor specifications; and/or

[b]	organizational requirements;

(b)

[1]	approves all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;

[2]	monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;

(c)

[1]	defines personnel or roles required to explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;

[2]	requires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;

(d)	sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;

(e)	checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions;

(f)

[1]	defines maintenance-related information to be included in organizational maintenance records; and

[2]	includes organization-defined maintenance-related information in organizational maintenance records.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing controlled information system maintenance

maintenance records

manufacturer/vendor maintenance specifications

equipment sanitization records

media sanitization records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

organizational personnel responsible for media sanitization

system/network administrators

Assessment: TEST

Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system

organizational processes for sanitizing information system components

automated mechanisms supporting and/or implementing controlled maintenance

automated mechanisms implementing sanitization of information system components

References: None

MA-3 MAINTENANCE TOOLS

priority: P3

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization approves, controls, and monitors information system maintenance tools.

Supplemental guidance

This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing �ping,� �ls,� �ipconfig,� or the hardware and software implementing the monitoring port of an Ethernet switch.

cf MA-2MA-2MA-2

cf MA-5MA-5MA-5

cf MP-6MP-6MP-6

Objectives

Determine if the organization:

[1]	approves information system maintenance tools;

[2]	controls information system maintenance tools; and

[3]	monitors information system maintenance tools.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance tools

information system maintenance tools and associated documentation

maintenance records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for approving, controlling, and monitoring maintenance tools

automated mechanisms supporting and/or implementing approval, control, and/or monitoring of maintenance tools

References

NIST Special Publication 800-88

MA-4 NONLOCAL MAINTENANCE

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Approves and monitors nonlocal maintenance and diagnostic activities;

b.	Allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;

c.	Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;

d.	Maintains records for nonlocal maintenance and diagnostic activities; and

e.	Terminates session and network connections when nonlocal maintenance is completed.

Supplemental guidance

Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.

Objectives

Determine if the organization:

(a)

[1]	approves nonlocal maintenance and diagnostic activities;

[2]	monitors nonlocal maintenance and diagnostic activities;

(b)

allows the use of nonlocal maintenance and diagnostic tools only:

[1]	as consistent with organizational policy;

[2]	as documented in the security plan for the information system;

(c)	employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;

(d)	maintains records for nonlocal maintenance and diagnostic activities;

(e)

[1]	terminates sessions when nonlocal maintenance or diagnostics is completed; and

[2]	terminates network connections when nonlocal maintenance or diagnostics is completed.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing nonlocal information system maintenance

security plan

information system design documentation

information system configuration settings and associated documentation

maintenance records

diagnostic records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing nonlocal maintenance

automated mechanisms implementing, supporting, and/or managing nonlocal maintenance

automated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions

automated mechanisms for terminating nonlocal maintenance sessions and network connections

References

FIPS Publication 140-2

FIPS Publication 197

FIPS Publication 201

NIST Special Publication 800-63

NIST Special Publication 800-88

CNSS Policy 15

MA-5 MAINTENANCE PERSONNEL

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Establishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;

b.	Ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and

c.	Designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.

Supplemental guidance

This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.

Objectives

Determine if the organization:

(a)

[1]	establishes a process for maintenance personnel authorization;

[2]	maintains a list of authorized maintenance organizations or personnel;

(b)	ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and

(c)	designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing maintenance personnel

service provider contracts

service-level agreements

list of authorized personnel

maintenance records

access control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for authorizing and managing maintenance personnel

automated mechanisms supporting and/or implementing authorization of maintenance personnel

References: None

MA-6 TIMELY MAINTENANCE

Parameter: ma-6_a organization-defined information system components

organization-defined information system components

Parameter: ma-6_b organization-defined time period

organization-defined time period

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization obtains maintenance support and/or spare parts for ma-6_a organization-defined information system components organization-defined information system components [NO PARAMETER VALUE GIVEN] within ma-6_b organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] of failure.

Supplemental guidance

Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.

cf #sa.14

Objectives

Determine if the organization:

[1]	defines information system components for which maintenance support and/or spare parts are to be obtained;

[2]	defines the time period within which maintenance support and/or spare parts are to be obtained after a failure;

[3]

[a]	obtains maintenance support for organization-defined information system components within the organization-defined time period of failure; and/or

[b]	obtains spare parts for organization-defined information system components within the organization-defined time period of failure.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance

service provider contracts

service-level agreements

inventory and availability of spare parts

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with acquisition responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for ensuring timely maintenance

References: None

MP-1 MEDIA PROTECTION POLICY AND PROCEDURES

Parameter: mp-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: mp-1_b organization-defined frequency

organization-defined frequency

Parameter: mp-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to mp-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the media protection policy and associated media protection controls; and

b.

Reviews and updates the current:

1.	Media protection policy mp-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Media protection procedures mp-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a media protection policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the media protection policy is to be disseminated;

[3]	disseminates the media protection policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current media protection policy;

[2]	reviews and updates the current media protection policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current media protection procedures; and

[2]	reviews and updates the current media protection procedures with the organization-defined frequency.

Assessment: EXAMINE

Media protection policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with media protection responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-100

MP-2 MEDIA ACCESS

Parameter: mp-2_a organization-defined types of digital and/or non-digital media

organization-defined types of digital and/or non-digital media

Parameter: mp-2_b organization-defined personnel or roles

organization-defined personnel or roles

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization restricts access to mp-2_a organization-defined types of digital and/or non-digital media organization-defined types of digital and/or non-digital media [NO PARAMETER VALUE GIVEN] to mp-2_b organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.

Objectives

Determine if the organization:

[1]	defines types of digital and/or non-digital media requiring restricted access;

[2]	defines personnel or roles authorized to access organization-defined types of digital and/or non-digital media; and

[3]	restricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media access restrictions

access control policy and procedures

physical and environmental protection policy and procedures

media storage facilities

access control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media protection responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for restricting information media

automated mechanisms supporting and/or implementing media access restrictions

References

FIPS Publication 199

NIST Special Publication 800-111

MP-3 MEDIA MARKING

Parameter: mp-3_a organization-defined types of information system media

organization-defined types of information system media

Parameter: mp-3_b organization-defined controlled areas

organization-defined controlled areas

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and

b.

Exempts mp-3_a organization-defined types of information system media organization-defined types of information system media [NO PARAMETER VALUE GIVEN] from marking as long as the media remain within mp-3_b organization-defined controlled areas organization-defined controlled areas [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.

cf #ac.16

cf PL-2PL-2PL-2

cf RA-3RA-3RA-3

Objectives

Determine if the organization:

(a)

marks information system media indicating the:

[1]	distribution limitations of the information;

[2]	handling caveats of the information;

[3]	applicable security markings (if any) of the information;

(b)

[1]	defines types of information system media to be exempted from marking as long as the media remain in designated controlled areas;

[2]	defines controlled areas where organization-defined types of information system media exempt from marking are to be retained; and

[3]	exempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media marking

physical and environmental protection policy and procedures

security plan

list of information system media marking security attributes

designated controlled areas

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media protection and marking responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for marking information media

automated mechanisms supporting and/or implementing media marking

References

FIPS Publication 199

MP-4 MEDIA STORAGE

Parameter: mp-4_a organization-defined types of digital and/or non-digital media

organization-defined types of digital and/or non-digital media

Parameter: mp-4_b organization-defined controlled areas

organization-defined controlled areas

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Physically controls and securely stores mp-4_a organization-defined types of digital and/or non-digital media organization-defined types of digital and/or non-digital media [NO PARAMETER VALUE GIVEN] within mp-4_b organization-defined controlled areas organization-defined controlled areas [NO PARAMETER VALUE GIVEN] ; and

b.	Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.

Supplemental guidance

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.

Objectives

Determine if the organization:

(a)

[1]	defines types of digital and/or non-digital media to be physically controlled and securely stored within designated controlled areas;

[2]	defines controlled areas designated to physically control and securely store organization-defined types of digital and/or non-digital media;

[3]	physically controls organization-defined types of digital and/or non-digital media within organization-defined controlled areas;

[4]	securely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and

(b)	protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media storage

physical and environmental protection policy and procedures

access control policy and procedures

security plan

information system media

designated controlled areas

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media protection and storage responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for storing information media

automated mechanisms supporting and/or implementing secure media storage/media protection

References

FIPS Publication 199

NIST Special Publication 800-56

NIST Special Publication 800-57

NIST Special Publication 800-111

MP-5 MEDIA TRANSPORT

Parameter: mp-5_a organization-defined types of information system media

organization-defined types of information system media

Parameter: mp-5_b organization-defined security safeguards

organization-defined security safeguards

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Protects and controls mp-5_a organization-defined types of information system media organization-defined types of information system media [NO PARAMETER VALUE GIVEN] during transport outside of controlled areas using mp-5_b organization-defined security safeguards organization-defined security safeguards [NO PARAMETER VALUE GIVEN] ;

b.	Maintains accountability for information system media during transport outside of controlled areas;

c.	Documents activities associated with the transport of information system media; and

d.	Restricts the activities associated with the transport of information system media to authorized personnel.

Supplemental guidance

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems. Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.

Objectives

Determine if the organization:

(a)

[1]	defines types of information system media to be protected and controlled during transport outside of controlled areas;

[2]	defines security safeguards to protect and control organization-defined information system media during transport outside of controlled areas;

[3]	protects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security safeguards;

(b)	maintains accountability for information system media during transport outside of controlled areas;

(c)	documents activities associated with the transport of information system media; and

(d)	restricts the activities associated with transport of information system media to authorized personnel.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media storage

physical and environmental protection policy and procedures

access control policy and procedures

security plan

information system media

designated controlled areas

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media protection and storage responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for storing information media

automated mechanisms supporting and/or implementing media storage/media protection

References

FIPS Publication 199

NIST Special Publication 800-60

MP-6 MEDIA SANITIZATION

Parameter: mp-6_a organization-defined information system media

organization-defined information system media

Parameter: mp-6_b organization-defined sanitization techniques and procedures

organization-defined sanitization techniques and procedures

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Sanitizes mp-6_a organization-defined information system media organization-defined information system media [NO PARAMETER VALUE GIVEN] prior to disposal, release out of organizational control, or release for reuse using mp-6_b organization-defined sanitization techniques and procedures organization-defined sanitization techniques and procedures [NO PARAMETER VALUE GIVEN] in accordance with applicable federal and organizational standards and policies; and

b.	Employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.

Supplemental guidance

This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.

Objectives

Determine if the organization:

(a)

[1]

defines information system media to be sanitized prior to:

[a]

disposal;

[b]	release out of organizational control; or

[c]	release for reuse;

[2]

defines sanitization techniques or procedures to be used for sanitizing organization-defined information system media prior to:

[a]

disposal;

[b]	release out of organizational control; or

[c]	release for reuse;

[3]	sanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies; and

(b)	employs sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media sanitization and disposal

applicable federal standards and policies addressing media sanitization

media sanitization records

audit records

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with media sanitization responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for media sanitization

automated mechanisms supporting and/or implementing media sanitization

References

FIPS Publication 199

NIST Special Publication 800-60

NIST Special Publication 800-88

http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml

MP-7 MEDIA USE

Parameter: mp-7_a organization-defined types of information system media

organization-defined types of information system media

Parameter: mp-7_b organization-defined information systems or system components

organization-defined information systems or system components

Parameter: mp-7_c organization-defined security safeguards

organization-defined security safeguards

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization [Selection: restricts; prohibits] the use of mp-7_a organization-defined types of information system media organization-defined types of information system media [NO PARAMETER VALUE GIVEN] on mp-7_b organization-defined information systems or system components organization-defined information systems or system components [NO PARAMETER VALUE GIVEN] using mp-7_c organization-defined security safeguards organization-defined security safeguards [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.

cf AC-19AC-19AC-19

cf PL-4PL-4PL-4

Objectives

Determine if the organization:

[1]

defines types of information system media to be:

[a]	restricted on information systems or system components; or

[b]	prohibited from use on information systems or system components;

[2]

defines information systems or system components on which the use of organization-defined types of information system media is to be one of the following:

[a]	restricted; or

[b]	prohibited;

[3]	defines security safeguards to be employed to restrict or prohibit the use of organization-defined types of information system media on organization-defined information systems or system components; and

[4]	restricts or prohibits the use of organization-defined information system media on organization-defined information systems or system components using organization-defined security safeguards.

Assessment: EXAMINE

Information system media protection policy

system use policy

procedures addressing media usage restrictions

security plan

rules of behavior

information system design documentation

information system configuration settings and associated documentation

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media use responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for media use

automated mechanisms restricting or prohibiting use of information system media on information systems or system components

References

FIPS Publication 199

NIST Special Publication 800-111

PE-1 PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES

Parameter: pe-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: pe-1_b organization-defined frequency

organization-defined frequency

Parameter: pe-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to pe-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and

b.

Reviews and updates the current:

1.	Physical and environmental protection policy pe-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Physical and environmental protection procedures pe-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a physical and environmental protection policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the physical and environmental protection policy is to be disseminated;

[3]	disseminates the physical and environmental protection policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current physical and environmental protection policy;

[2]	reviews and updates the current physical and environmental protection policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current physical and environmental protection procedures; and

[2]	reviews and updates the current physical and environmental protection procedures with the organization-defined frequency.

Assessment: EXAMINE

Physical and environmental protection policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical and environmental protection responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-100

PE-2 PHYSICAL ACCESS AUTHORIZATIONS

Parameter: pe-2_a organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Develops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;

b.	Issues authorization credentials for facility access;

c.	Reviews the access list detailing authorized facility access by individuals pe-2_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

d.	Removes individuals from the facility access list when access is no longer required.

Supplemental guidance

This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.

cf PE-3PE-3PE-3

cf PE-4PE-4PE-4

cf PS-3PS-3PS-3

Objectives

Determine if the organization:

(a)

[1]	develops a list of individuals with authorized access to the facility where the information system resides;

[2]	approves a list of individuals with authorized access to the facility where the information system resides;

[3]	maintains a list of individuals with authorized access to the facility where the information system resides;

(b)	issues authorization credentials for facility access;

(c)

[1]	defines the frequency to review the access list detailing authorized facility access by individuals;

[2]	reviews the access list detailing authorized facility access by individuals with the organization-defined frequency; and

(d)	removes individuals from the facility access list when access is no longer required.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access authorizations

security plan

authorized personnel access list

authorization credentials

physical access list reviews

physical access termination records and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access authorization responsibilities

organizational personnel with physical access to information system facility

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access authorizations

automated mechanisms supporting and/or implementing physical access authorizations

References: None

PE-3 PHYSICAL ACCESS CONTROL

Parameter: pe-3_a organization-defined entry/exit points to the facility where the information system resides

organization-defined entry/exit points to the facility where the information system resides

Parameter: pe-3_b organization-defined physical access control systems/devices

organization-defined physical access control systems/devices

Parameter: pe-3_c organization-defined entry/exit points

organization-defined entry/exit points

Parameter: pe-3_d organization-defined security safeguards

organization-defined security safeguards

Parameter: pe-3_e organization-defined circumstances requiring visitor escorts and monitoring

organization-defined circumstances requiring visitor escorts and monitoring

Parameter: pe-3_f organization-defined physical access devices

organization-defined physical access devices

Parameter: pe-3_g organization-defined frequency

organization-defined frequency

Parameter: pe-3_h organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Enforces physical access authorizations at pe-3_a organization-defined entry/exit points to the facility where the information system resides organization-defined entry/exit points to the facility where the information system resides [NO PARAMETER VALUE GIVEN] by;

1.	Verifying individual access authorizations before granting access to the facility; and

2.	Controlling ingress/egress to the facility using [Selection (one or more): pe-3_b organization-defined physical access control systems/devices organization-defined physical access control systems/devices [NO PARAMETER VALUE GIVEN] ; guards];

b.	Maintains physical access audit logs for pe-3_c organization-defined entry/exit points organization-defined entry/exit points [NO PARAMETER VALUE GIVEN] ;

c.	Provides pe-3_d organization-defined security safeguards organization-defined security safeguards [NO PARAMETER VALUE GIVEN] to control access to areas within the facility officially designated as publicly accessible;

d.	Escorts visitors and monitors visitor activity pe-3_e organization-defined circumstances requiring visitor escorts and monitoring organization-defined circumstances requiring visitor escorts and monitoring [NO PARAMETER VALUE GIVEN] ;

e.	Secures keys, combinations, and other physical access devices;

f.	Inventories pe-3_f organization-defined physical access devices organization-defined physical access devices [NO PARAMETER VALUE GIVEN] every pe-3_g organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

g.	Changes combinations and keys pe-3_h organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.

Supplemental guidance

This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.

Objectives

Determine if the organization:

(a)

[1]	defines entry/exit points to the facility where the information system resides;

[2]

enforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by:

(1)	verifying individual access authorizations before granting access to the facility;

(2)

[a]	defining physical access control systems/devices to be employed to control ingress/egress to the facility where the information system resides;

[b]

using one or more of the following ways to control ingress/egress to the facility:

[1]	organization-defined physical access control systems/devices; and/or

[2]

guards;

(b)

[1]	defines entry/exit points for which physical access audit logs are to be maintained;

[2]	maintains physical access audit logs for organization-defined entry/exit points;

(c)

[1]	defines security safeguards to be employed to control access to areas within the facility officially designated as publicly accessible;

[2]	provides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;

(d)

[1]

defines circumstances requiring visitor:

[a]

escorts;

[b]	monitoring;

[2]

in accordance with organization-defined circumstances requiring visitor escorts and monitoring:

[a]	escorts visitors;

[b]	monitors visitor activities;

(e)

[1]	secures keys;

[2]	secures combinations;

[3]	secures other physical access devices;

(f)

[1]	defines physical access devices to be inventoried;

[2]	defines the frequency to inventory organization-defined physical access devices;

[3]	inventories the organization-defined physical access devices with the organization-defined frequency;

(g)

[1]	defines the frequency to change combinations and keys; and

[2]

changes combinations and keys with the organization-defined frequency and/or when:

[a]	keys are lost;

[b]	combinations are compromised;

[c]	individuals are transferred or terminated.

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access control

automated mechanisms supporting and/or implementing physical access control

physical access control devices

References

FIPS Publication 201

NIST Special Publication 800-73

NIST Special Publication 800-76

NIST Special Publication 800-78

NIST Special Publication 800-116

ICD 704

ICD 705

DoD Instruction 5200.39

Personal Identity Verification (PIV) in Enterprise Physical Access Control System (E-PACS)

http://idmanagement.gov

http://fips201ep.cio.gov

PE-4 ACCESS CONTROL FOR TRANSMISSION MEDIUM

Parameter: pe-4_a organization-defined information system distribution and transmission lines

organization-defined information system distribution and transmission lines

Parameter: pe-4_b organization-defined security safeguards

organization-defined security safeguards

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization controls physical access to pe-4_a organization-defined information system distribution and transmission lines organization-defined information system distribution and transmission lines [NO PARAMETER VALUE GIVEN] within organizational facilities using pe-4_b organization-defined security safeguards organization-defined security safeguards [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.

Objectives

Determine if the organization:

[1]	defines information system distribution and transmission lines requiring physical access controls;

[2]	defines security safeguards to be employed to control physical access to organization-defined information system distribution and transmission lines within organizational facilities; and

[3]	controls physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing access control for transmission medium

information system design documentation

facility communications and wiring diagrams

list of physical security safeguards applied to information system distribution and transmission lines

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for access control to distribution and transmission lines

automated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines

References

NSTISSI No. 7003

PE-5 ACCESS CONTROL FOR OUTPUT DEVICES

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.

Supplemental guidance

Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.

Objective

Determine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing access control for display medium

facility layout of information system components

actual displays from information system components

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for access control to output devices

automated mechanisms supporting and/or implementing access control to output devices

References: None

PE-6 MONITORING PHYSICAL ACCESS

Parameter: pe-6_a organization-defined frequency

organization-defined frequency

Parameter: pe-6_b organization-defined events or potential indications of events

organization-defined events or potential indications of events

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;

b.

Reviews physical access logs pe-6_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] and upon occurrence of pe-6_b organization-defined events or potential indications of events organization-defined events or potential indications of events [NO PARAMETER VALUE GIVEN] ; and

c.	Coordinates results of reviews and investigations with the organizational incident response capability.

Supplemental guidance

Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.

cf CA-7CA-7CA-7

cf IR-4IR-4IR-4

cf IR-8IR-8IR-8

Objectives

Determine if the organization:

(a)	monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;

(b)

[1]	defines the frequency to review physical access logs;

[2]	defines events or potential indication of events requiring physical access logs to be reviewed;

[3]	reviews physical access logs with the organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and

(c)	coordinates results of reviews and investigations with the organizational incident response capability.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access monitoring

security plan

physical access logs or records

physical access monitoring records

physical access log reviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access monitoring responsibilities

organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for monitoring physical access

automated mechanisms supporting and/or implementing physical access monitoring

automated mechanisms supporting and/or implementing reviewing of physical access logs

References: None

PE-8 VISITOR ACCESS RECORDS

Parameter: pe-8_a organization-defined time period

organization-defined time period

Parameter: pe-8_b organization-defined frequency

organization-defined frequency

priority: P3

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Maintains visitor access records to the facility where the information system resides for pe-8_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] ; and

b.	Reviews visitor access records pe-8_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.

Objectives

Determine if the organization:

(a)

[1]	defines the time period to maintain visitor access records to the facility where the information system resides;

[2]	maintains visitor access records to the facility where the information system resides for the organization-defined time period;

(b)

[1]	defines the frequency to review visitor access records; and

[2]	reviews visitor access records with the organization-defined frequency.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing visitor access records

security plan

visitor access control logs or records

visitor access record or log reviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with visitor access records responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for maintaining and reviewing visitor access records

automated mechanisms supporting and/or implementing maintenance and review of visitor access records

Control enhancements

PE-8 (1) AUTOMATED RECORDS MAINTENANCE / REVIEW

baseline-impact: HIGH

Control

The organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.

Objective

Determine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing visitor access records

automated mechanisms supporting management of visitor access records

visitor access control logs or records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with visitor access records responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for maintaining and reviewing visitor access records

automated mechanisms supporting and/or implementing maintenance and review of visitor access records

References: None

PE-9 POWER EQUIPMENT AND CABLING

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization protects power equipment and power cabling for the information system from damage and destruction.

Supplemental guidance

Organizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.

cf PE-4PE-4PE-4

Objective

Determine if the organization protects power equipment and power cabling for the information system from damage and destruction.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing power equipment/cabling protection

facilities housing power equipment/cabling

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for protecting power equipment/cabling

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing protection of power equipment/cabling

References: None

PE-10 EMERGENCY SHUTOFF

Parameter: pe-10_a organization-defined location by information system or system component

organization-defined location by information system or system component

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Provides the capability of shutting off power to the information system or individual system components in emergency situations;

b.	Places emergency shutoff switches or devices in pe-10_a organization-defined location by information system or system component organization-defined location by information system or system component [NO PARAMETER VALUE GIVEN] to facilitate safe and easy access for personnel; and

c.	Protects emergency power shutoff capability from unauthorized activation.

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.

cf PE-15PE-15PE-15

Objectives

Determine if the organization:

(a)	provides the capability of shutting off power to the information system or individual system components in emergency situations;

(b)

[1]	defines the location of emergency shutoff switches or devices by information system or system component;

[2]	places emergency shutoff switches or devices in the organization-defined location by information system or system component to facilitate safe and easy access for personnel; and

(c)	protects emergency power shutoff capability from unauthorized activation.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing power source emergency shutoff

security plan

emergency shutoff controls or switches

locations housing emergency shutoff switches and devices

security safeguards protecting emergency power shutoff capability from unauthorized activation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing emergency power shutoff

References: None

PE-11 EMERGENCY POWER

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the information system; transition of the information system to long-term alternate power] in the event of a primary power source loss.

Supplemental guidance

cf AT-3AT-3AT-3

cf CP-2CP-2CP-2

cf CP-7CP-7CP-7

Objectives

Determine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss:

[1]	an orderly shutdown of the information system; and/or

[2]	transition of the information system to long-term alternate power.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing emergency power

uninterruptible power supply

uninterruptible power supply documentation

uninterruptible power supply test records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for emergency power and/or planning

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing uninterruptible power supply

the uninterruptable power supply

References: None

PE-12 EMERGENCY LIGHTING

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.

cf CP-2CP-2CP-2

cf CP-7CP-7CP-7

Objectives

Determine if the organization employs and maintains automatic emergency lighting for the information system that:

[1]	activates in the event of a power outage or disruption; and

[2]	covers emergency exits and evacuation routes within the facility.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing emergency lighting

emergency lighting documentation

emergency lighting test records

emergency exits and evacuation routes

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for emergency lighting and/or planning

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing emergency lighting capability

References: None

PE-13 FIRE PROTECTION

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.

Objectives

Determine if the organization:

[1]	employs fire suppression and detection devices/systems for the information system that are supported by an independent energy source; and

[2]	maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing fire protection

fire suppression and detection devices/systems

fire suppression and detection devices/systems documentation

test records of fire suppression and detection devices/systems

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for fire detection and suppression devices/systems

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems

References: None

PE-14 TEMPERATURE AND HUMIDITY CONTROLS

Parameter: pe-14_a organization-defined acceptable levels

organization-defined acceptable levels

Parameter: pe-14_b organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Maintains temperature and humidity levels within the facility where the information system resides at pe-14_a organization-defined acceptable levels organization-defined acceptable levels [NO PARAMETER VALUE GIVEN] ; and

b.	Monitors temperature and humidity levels pe-14_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.

cf AT-3AT-3AT-3

Objectives

Determine if the organization:

(a)

[1]	defines acceptable temperature levels to be maintained within the facility where the information system resides;

[2]	defines acceptable humidity levels to be maintained within the facility where the information system resides;

[3]	maintains temperature levels within the facility where the information system resides at the organization-defined levels;

[4]	maintains humidity levels within the facility where the information system resides at the organization-defined levels;

(b)

[1]	defines the frequency to monitor temperature levels;

[2]	defines the frequency to monitor humidity levels;

[3]	monitors temperature levels with the organization-defined frequency; and

[4]	monitors humidity levels with the organization-defined frequency.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing temperature and humidity control

security plan

temperature and humidity controls

facility housing the information system

temperature and humidity controls documentation

temperature and humidity records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system environmental controls

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels

References: None

PE-15 WATER DAMAGE PROTECTION

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.

cf AT-3AT-3AT-3

Objectives

Determine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are:

[1]	accessible;

[2]	working properly; and

[3]	known to key personnel.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing water damage protection

facility housing the information system

master shutoff valves

list of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system

master shutoff valve documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system environmental controls

organizational personnel with information security responsibilities

Assessment: TEST

Master water-shutoff valves

organizational process for activating master water-shutoff

References: None

PE-16 DELIVERY AND REMOVAL

Parameter: pe-16_a organization-defined types of information system components

organization-defined types of information system components

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization authorizes, monitors, and controls pe-16_a organization-defined types of information system components organization-defined types of information system components [NO PARAMETER VALUE GIVEN] entering and exiting the facility and maintains records of those items.

Supplemental guidance

Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.

Objectives

Determine if the organization:

[1]	defines types of information system components to be authorized, monitored, and controlled as such components are entering and exiting the facility;

[2]	authorizes organization-defined information system components entering the facility;

[3]	monitors organization-defined information system components entering the facility;

[4]	controls organization-defined information system components entering the facility;

[5]	authorizes organization-defined information system components exiting the facility;

[6]	monitors organization-defined information system components exiting the facility;

[7]	controls organization-defined information system components exiting the facility;

[8]	maintains records of information system components entering the facility; and

[9]	maintains records of information system components exiting the facility.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing delivery and removal of information system components from the facility

security plan

facility housing the information system

records of items entering and exiting the facility

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for controlling information system components entering and exiting the facility

organizational personnel with information security responsibilities

Assessment: TEST

Organizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility

automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling information system-related items entering and exiting the facility

References: None

PE-17 ALTERNATE WORK SITE

Parameter: pe-17_a organization-defined security controls

organization-defined security controls

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Employs pe-17_a organization-defined security controls organization-defined security controls [NO PARAMETER VALUE GIVEN] at alternate work sites;

b.	Assesses as feasible, the effectiveness of security controls at alternate work sites; and

c.	Provides a means for employees to communicate with information security personnel in case of security incidents or problems.

Supplemental guidance

Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.

cf AC-17AC-17AC-17

cf CP-7CP-7CP-7

Objectives

Determine if the organization:

(a)

[1]	defines security controls to be employed at alternate work sites;

[2]	employs organization-defined security controls at alternate work sites;

(b)	assesses, as feasible, the effectiveness of security controls at alternate work sites; and

(c)	provides a means for employees to communicate with information security personnel in case of security incidents or problems.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing alternate work sites for organizational personnel

security plan

list of security controls required for alternate work sites

assessments of security controls at alternate work sites

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel approving use of alternate work sites

organizational personnel using alternate work sites

organizational personnel assessing controls at alternate work sites

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for security at alternate work sites

automated mechanisms supporting alternate work sites

security controls employed at alternate work sites

means of communications between personnel at alternate work sites and security personnel

References

NIST Special Publication 800-46

PE-18 LOCATION OF INFORMATION SYSTEM COMPONENTS

Parameter: pe-18_a organization-defined physical and environmental hazards

organization-defined physical and environmental hazards

priority: P3

baseline-impact: HIGH

Control

The organization positions information system components within the facility to minimize potential damage from pe-18_a organization-defined physical and environmental hazards organization-defined physical and environmental hazards [NO PARAMETER VALUE GIVEN] and to minimize the opportunity for unauthorized access.

Supplemental guidance

Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).

cf CP-2CP-2CP-2

cf #pe.19

cf RA-3RA-3RA-3

Objectives

Determine if the organization:

[1]	defines physical hazards that could result in potential damage to information system components within the facility;

[2]	defines environmental hazards that could result in potential damage to information system components within the facility;

[3]	positions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards; and

[4]	positions information system components within the facility to minimize the opportunity for unauthorized access.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing positioning of information system components

documentation providing the location and position of information system components within the facility

locations housing information system components within the facility

list of physical and environmental hazards with potential to damage information system components within the facility

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for positioning information system components

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for positioning information system components

References: None

PL-1 SECURITY PLANNING POLICY AND PROCEDURES

Parameter: pl-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: pl-1_b organization-defined frequency

organization-defined frequency

Parameter: pl-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to pl-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the security planning policy and associated security planning controls; and

b.

Reviews and updates the current:

1.	Security planning policy pl-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Security planning procedures pl-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a planning policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the planning policy is to be disseminated;

[3]	disseminates the planning policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the planning policy and associated planning controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current planning policy;

[2]	reviews and updates the current planning policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current planning procedures; and

[2]	reviews and updates the current planning procedures with the organization-defined frequency.

Assessment: EXAMINE

Planning policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with planning responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-18

NIST Special Publication 800-100

PL-2 SYSTEM SECURITY PLAN

Parameter: pl-2_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: pl-2_b organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops a security plan for the information system that:

1.	Is consistent with the organization�s enterprise architecture;

2.	Explicitly defines the authorization boundary for the system;

3.	Describes the operational context of the information system in terms of missions and business processes;

4.	Provides the security categorization of the information system including supporting rationale;

5.	Describes the operational environment for the information system and relationships with or connections to other information systems;

6.	Provides an overview of the security requirements for the system;

7.	Identifies any relevant overlays, if applicable;

8.	Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and

9.	Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;

b.	Distributes copies of the security plan and communicates subsequent changes to the plan to pl-2_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] ;

c.	Reviews the security plan for the information system pl-2_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ;

d.	Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and

e.	Protects the security plan from unauthorized disclosure and modification.

Supplemental guidance

Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.

cf #pl.7

cf #pm.1

cf #pm.7

cf #pm.8

cf #pm.9

cf #pm.11

cf SA-5SA-5SA-5

cf SA-17SA-17SA-17

Objectives

Determine if the organization:

(a)

develops a security plan for the information system that:

(1)	is consistent with the organization’s enterprise architecture;

(2)	explicitly defines the authorization boundary for the system;

(3)	describes the operational context of the information system in terms of missions and business processes;

(4)	provides the security categorization of the information system including supporting rationale;

(5)	describes the operational environment for the information system and relationships with or connections to other information systems;

(6)	provides an overview of the security requirements for the system;

(7)	identifies any relevant overlays, if applicable;

(8)	describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions;

(9)	is reviewed and approved by the authorizing official or designated representative prior to plan implementation;

(b)

[1]	defines personnel or roles to whom copies of the security plan are to be distributed and subsequent changes to the plan are to be communicated;

[2]	distributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;

(c)

[1]	defines the frequency to review the security plan for the information system;

[2]	reviews the security plan for the information system with the organization-defined frequency;

(d)

updates the plan to address:

[1]	changes to the information system/environment of operation;

[2]	problems identified during plan implementation;

[3]	problems identified during security control assessments;

(e)

protects the security plan from unauthorized:

[1]	disclosure; and

[2]	modification.

Assessment: EXAMINE

Security planning policy

procedures addressing security plan development and implementation

procedures addressing security plan reviews and updates

enterprise architecture documentation

security plan for the information system

records of security plan reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security planning and plan implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for security plan development/review/update/approval

automated mechanisms supporting the information system security plan

References

NIST Special Publication 800-18

PL-4 RULES OF BEHAVIOR

Parameter: pl-4_a organization-defined frequency

organization-defined frequency

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;

b.	Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;

c.	Reviews and updates the rules of behavior pl-4_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

d.	Requires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.

Supplemental guidance

This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.

cf #ac.9

Objectives

Determine if the organization:

(a)

[1]	establishes, for individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;

[2]	makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;

(b)	receives a signed acknowledgement from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;

(c)

[1]	defines the frequency to review and update the rules of behavior;

[2]	reviews and updates the rules of behavior with the organization-defined frequency; and

(d)	requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.

Assessment: EXAMINE

Security planning policy

procedures addressing rules of behavior for information system users

rules of behavior

signed acknowledgements

records for rules of behavior reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior

organizational personnel who are authorized users of the information system and have signed and resigned rules of behavior

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior

automated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior

Control enhancements

PL-4 (1) SOCIAL MEDIA AND NETWORKING RESTRICTIONS

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.

Supplemental guidance

This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.

Objectives

Determine if the organization includes the following in the rules of behavior:

[1]	explicit restrictions on the use of social media/networking sites; and

[2]	posting organizational information on public websites.

Assessment: EXAMINE

Security planning policy

procedures addressing rules of behavior for information system users

rules of behavior

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior

organizational personnel who are authorized users of the information system and have signed rules of behavior

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for establishing rules of behavior

automated mechanisms supporting and/or implementing the establishment of rules of behavior

References

NIST Special Publication 800-18

PL-8 INFORMATION SECURITY ARCHITECTURE

Parameter: pl-8_a organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops an information security architecture for the information system that:

1.	Describes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;

2.	Describes how the information security architecture is integrated into and supports the enterprise architecture; and

3.	Describes any information security assumptions about, and dependencies on, external services;

b.	Reviews and updates the information security architecture pl-8_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] to reflect updates in the enterprise architecture; and

c.	Ensures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.

Supplemental guidance

This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs. In today�s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization�s enterprise architecture and information security architecture.

cf #pm.7

Objectives

Determine if the organization:

(a)

develops an information security architecture for the information system that describes:

(1)	the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;

(2)	how the information security architecture is integrated into and supports the enterprise architecture;

(3)	any information security assumptions about, and dependencies on, external services;

(b)

[1]	defines the frequency to review and update the information security architecture;

[2]	reviews and updates the information security architecture with the organization-defined frequency to reflect updates in the enterprise architecture;

(c)

ensures that planned information security architecture changes are reflected in:

[1]	the security plan;

[2]	the security Concept of Operations (CONOPS); and

[3]	the organizational procurements/acquisitions.

Assessment: EXAMINE

Security planning policy

procedures addressing information security architecture development

procedures addressing information security architecture reviews and updates

enterprise architecture documentation

information security architecture documentation

security plan for the information system

security CONOPS for the information system

records of information security architecture reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security planning and plan implementation responsibilities

organizational personnel with information security architecture development responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for developing, reviewing, and updating the information security architecture

automated mechanisms supporting and/or implementing the development, review, and update of the information security architecture

References: None

PS-1 PERSONNEL SECURITY POLICY AND PROCEDURES

Parameter: ps-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ps-1_b organization-defined frequency

organization-defined frequency

Parameter: ps-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to ps-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and

b.

Reviews and updates the current:

1.	Personnel security policy ps-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Personnel security procedures ps-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an personnel security policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the personnel security policy is to be disseminated;

[3]	disseminates the personnel security policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current personnel security policy;

[2]	reviews and updates the current personnel security policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current personnel security procedures; and

[2]	reviews and updates the current personnel security procedures with the organization-defined frequency.

Assessment: EXAMINE

Personnel security policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access control responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-100

PS-2 POSITION RISK DESIGNATION

Parameter: ps-2_a organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Assigns a risk designation to all organizational positions;

b.	Establishes screening criteria for individuals filling those positions; and

c.	Reviews and updates position risk designations ps-2_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Position risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).

cf AT-3AT-3AT-3

cf PL-2PL-2PL-2

cf PS-3PS-3PS-3

Objectives

Determine if the organization:

(a)	assigns a risk designation to all organizational positions;

(b)	establishes screening criteria for individuals filling those positions;

(c)

[1]	defines the frequency to review and update position risk designations; and

[2]	reviews and updates position risk designations with the organization-defined frequency.

Assessment: EXAMINE

Personnel security policy

procedures addressing position categorization

appropriate codes of federal regulations

list of risk designations for organizational positions

security plan

records of position risk designation reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for assigning, reviewing, and updating position risk designations

organizational processes for establishing screening criteria

References

5 C.F.R. 731.106

PS-3 PERSONNEL SCREENING

Parameter: ps-3_a organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening

organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Screens individuals prior to authorizing access to the information system; and

b.

Rescreens individuals according to ps-3_a organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.

Objectives

Determine if the organization:

(a)	screens individuals prior to authorizing access to the information system;

(b)

[1]	defines conditions requiring re-screening;

[2]	defines the frequency of re-screening where it is so indicated; and

[3]	re-screens individuals in accordance with organization-defined conditions requiring re-screening and, where re-screening is so indicated, with the organization-defined frequency of such re-screening.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel screening

records of screened personnel

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for personnel screening

References

5 C.F.R. 731.106

FIPS Publication 199

FIPS Publication 201

NIST Special Publication 800-60

NIST Special Publication 800-73

NIST Special Publication 800-76

NIST Special Publication 800-78

ICD 704

PS-4 PERSONNEL TERMINATION

Parameter: ps-4_a organization-defined time period

organization-defined time period

Parameter: ps-4_b organization-defined information security topics

organization-defined information security topics

Parameter: ps-4_c organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ps-4_d organization-defined time period

organization-defined time period

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization, upon termination of individual employment:

a.	Disables information system access within ps-4_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] ;

b.	Terminates/revokes any authenticators/credentials associated with the individual;

c.	Conducts exit interviews that include a discussion of ps-4_b organization-defined information security topics organization-defined information security topics [NO PARAMETER VALUE GIVEN] ;

d.	Retrieves all security-related organizational information system-related property;

e.	Retains access to organizational information and information systems formerly controlled by terminated individual; and

f.	Notifies ps-4_c organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] within ps-4_d organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.

Objectives

Determine if the organization, upon termination of individual employment,:

(a)

[1]	defines a time period within which to disable information system access;

[2]	disables information system access within the organization-defined time period;

(b)	terminates/revokes any authenticators/credentials associated with the individual;

(c)

[1]	defines information security topics to be discussed when conducting exit interviews;

[2]	conducts exit interviews that include a discussion of organization-defined information security topics;

(d)	retrieves all security-related organizational information system-related property;

(e)	retains access to organizational information and information systems formerly controlled by the terminated individual;

(f)

[1]	defines personnel or roles to be notified of the termination;

[2]	defines the time period within which to notify organization-defined personnel or roles; and

[3]	notifies organization-defined personnel or roles within the organization-defined time period.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel termination

records of personnel termination actions

list of information system accounts

records of terminated or revoked authenticators/credentials

records of exit interviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for personnel termination

automated mechanisms supporting and/or implementing personnel termination notifications

automated mechanisms for disabling information system access/revoking authenticators

References: None

PS-5 PERSONNEL TRANSFER

Parameter: ps-5_a organization-defined transfer or reassignment actions

organization-defined transfer or reassignment actions

Parameter: ps-5_b organization-defined time period following the formal transfer action

organization-defined time period following the formal transfer action

Parameter: ps-5_c organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ps-5_d organization-defined time period

organization-defined time period

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;

b.

Initiates ps-5_a organization-defined transfer or reassignment actions organization-defined transfer or reassignment actions [NO PARAMETER VALUE GIVEN] within ps-5_b organization-defined time period following the formal transfer action organization-defined time period following the formal transfer action [NO PARAMETER VALUE GIVEN] ;

c.	Modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and

d.	Notifies ps-5_c organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] within ps-5_d organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.

Objectives

Determine if the organization:

(a)

when individuals are reassigned or transferred to other positions within the organization, reviews and confirms ongoing operational need for current:

[1]	logical access authorizations to information systems;

[2]	physical access authorizations to information systems and facilities;

(b)

[1]	defines transfer or reassignment actions to be initiated following transfer or reassignment;

[2]	defines the time period within which transfer or reassignment actions must occur following transfer or reassignment;

[3]	initiates organization-defined transfer or reassignment actions within the organization-defined time period following transfer or reassignment;

(c)	modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer;

(d)

[1]	defines personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization;

[2]	defines the time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization; and

[3]	notifies organization-defined personnel or roles within the organization-defined time period when individuals are reassigned or transferred to other positions within the organization.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel transfer

security plan

records of personnel transfer actions

list of information system and facility access authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for personnel transfer

automated mechanisms supporting and/or implementing personnel transfer notifications

automated mechanisms for disabling information system access/revoking authenticators

References: None

PS-6 ACCESS AGREEMENTS

Parameter: ps-6_a organization-defined frequency

organization-defined frequency

Parameter: ps-6_b organization-defined frequency

organization-defined frequency

priority: P3

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Develops and documents access agreements for organizational information systems;

b.	Reviews and updates the access agreements ps-6_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

c.

Ensures that individuals requiring access to organizational information and information systems:

1.	Sign appropriate access agreements prior to being granted access; and

2.	Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or ps-6_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.

Objectives

Determine if the organization:

(a)	develops and documents access agreements for organizational information systems;

(b)

[1]	defines the frequency to review and update the access agreements;

[2]	reviews and updates the access agreements with the organization-defined frequency;

(c)

(1)	ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access;

(2)

[1]	defines the frequency to re-sign access agreements to maintain access to organizational information systems when access agreements have been updated;

[2]	ensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or with the organization-defined frequency.

Assessment: EXAMINE

Personnel security policy

procedures addressing access agreements for organizational information and information systems

security plan

access agreements

records of access agreement reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel who have signed/resigned access agreements

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for access agreements

automated mechanisms supporting access agreements

References: None

PS-7 THIRD-PARTY PERSONNEL SECURITY

Parameter: ps-7_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ps-7_b organization-defined time period

organization-defined time period

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Establishes personnel security requirements including security roles and responsibilities for third-party providers;

b.	Requires third-party providers to comply with personnel security policies and procedures established by the organization;

c.	Documents personnel security requirements;

d.

Requires third-party providers to notify ps-7_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within ps-7_b organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] ; and

e.	Monitors provider compliance.

Supplemental guidance

Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.

cf #sa.21

Objectives

Determine if the organization:

(a)	establishes personnel security requirements, including security roles and responsibilities, for third-party providers;

(b)	requires third-party providers to comply with personnel security policies and procedures established by the organization;

(c)	documents personnel security requirements;

(d)

[1]	defines personnel or roles to be notified of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;

[2]	defines the time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;

[3]	requires third-party providers to notify organization-defined personnel or roles within the organization-defined time period of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges; and

(e)	monitors provider compliance.

Assessment: EXAMINE

Personnel security policy

procedures addressing third-party personnel security

list of personnel security requirements

acquisition documents

service-level agreements

compliance monitoring process

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

third-party providers

system/network administrators

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for managing and monitoring third-party personnel security

automated mechanisms supporting and/or implementing monitoring of provider compliance

References

NIST Special Publication 800-35

PS-8 PERSONNEL SANCTIONS

Parameter: ps-8_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ps-8_b organization-defined time period

organization-defined time period

priority: P3

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Employs a formal sanctions process for individuals failing to comply with established information security policies and procedures; and

b.

Notifies ps-8_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] within ps-8_b organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

Supplemental guidance

Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.

cf PL-4PL-4PL-4

cf PS-6PS-6PS-6

Objectives

Determine if the organization:

(a)	employs a formal sanctions process for individuals failing to comply with established information security policies and procedures;

(b)

[1]	defines personnel or roles to be notified when a formal employee sanctions process is initiated;

[2]	defines the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated; and

[3]	notifies organization-defined personnel or roles within the organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel sanctions

rules of behavior

records of formal sanctions

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for managing personnel sanctions

automated mechanisms supporting and/or implementing notifications

References: None

RA-1 RISK ASSESSMENT POLICY AND PROCEDURES

Parameter: ra-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ra-1_b organization-defined frequency

organization-defined frequency

Parameter: ra-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to ra-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and

b.

Reviews and updates the current:

1.	Risk assessment policy ra-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	Risk assessment procedures ra-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a risk assessment policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the risk assessment policy is to be disseminated;

[3]	disseminates the risk assessment policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current risk assessment policy;

[2]	reviews and updates the current risk assessment policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current risk assessment procedures; and

[2]	reviews and updates the current risk assessment procedures with the organization-defined frequency.

Assessment: EXAMINE

risk assessment policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with risk assessment responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-30

NIST Special Publication 800-100

RA-2 SECURITY CATEGORIZATION

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

b.	Documents the security categorization results (including supporting rationale) in the security plan for the information system; and

c.	Ensures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.

Supplemental guidance

Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.

Objectives

Determine if the organization:

(a)	categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

(b)	documents the security categorization results (including supporting rationale) in the security plan for the information system; and

(c)	ensures the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.

Assessment: EXAMINE

Risk assessment policy

security planning policy and procedures

procedures addressing security categorization of organizational information and information systems

security plan

security categorization documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security categorization and risk assessment responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for security categorization

References

FIPS Publication 199

NIST Special Publication 800-30

NIST Special Publication 800-39

NIST Special Publication 800-60

RA-3 RISK ASSESSMENT

Parameter: ra-3_a organization-defined document

organization-defined document

Parameter: ra-3_b organization-defined frequency

organization-defined frequency

Parameter: ra-3_c organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ra-3_d organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;

b.	Documents risk assessment results in [Selection: security plan; risk assessment report; ra-3_a organization-defined document organization-defined document [NO PARAMETER VALUE GIVEN] ];

c.	Reviews risk assessment results ra-3_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ;

d.	Disseminates risk assessment results to ra-3_c organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] ; and

e.

Updates the risk assessment ra-3_d organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.

Supplemental guidance

Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.

cf RA-2RA-2RA-2

cf #pm.9

Objectives

Determine if the organization:

(a)

conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of:

[1]	the information system;

[2]	the information the system processes, stores, or transmits;

(b)

[1]	defines a document in which risk assessment results are to be documented (if not documented in the security plan or risk assessment report);

[2]

documents risk assessment results in one of the following:

[a]	the security plan;

[b]	the risk assessment report; or

[c]	the organization-defined document;

(c)

[1]	defines the frequency to review risk assessment results;

[2]	reviews risk assessment results with the organization-defined frequency;

(d)

[1]	defines personnel or roles to whom risk assessment results are to be disseminated;

[2]	disseminates risk assessment results to organization-defined personnel or roles;

(e)

[1]	defines the frequency to update the risk assessment;

[2]

updates the risk assessment:

[a]	with the organization-defined frequency;

[b]	whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities); and

[c]	whenever there are other conditions that may impact the security state of the system.

Assessment: EXAMINE

Risk assessment policy

security planning policy and procedures

procedures addressing organizational assessments of risk

security plan

risk assessment

risk assessment results

risk assessment reviews

risk assessment updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with risk assessment responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for risk assessment

automated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment

References

OMB Memorandum 04-04

NIST Special Publication 800-30

NIST Special Publication 800-39

http://idmanagement.gov

RA-5 VULNERABILITY SCANNING

Parameter: ra-5_a organization-defined frequency and/or randomly in accordance with organization-defined process

organization-defined frequency and/or randomly in accordance with organization-defined process

Parameter: ra-5_b organization-defined response times

organization-defined response times

Parameter: ra-5_c organization-defined personnel or roles

organization-defined personnel or roles

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Scans for vulnerabilities in the information system and hosted applications ra-5_a organization-defined frequency and/or randomly in accordance with organization-defined process organization-defined frequency and/or randomly in accordance with organization-defined process [NO PARAMETER VALUE GIVEN] and when new vulnerabilities potentially affecting the system/applications are identified and reported;

b.

Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:

1.	Enumerating platforms, software flaws, and improper configurations;

2.	Formatting checklists and test procedures; and

3.	Measuring vulnerability impact;

c.	Analyzes vulnerability scan reports and results from security control assessments;

d.	Remediates legitimate vulnerabilities ra-5_b organization-defined response times organization-defined response times [NO PARAMETER VALUE GIVEN] in accordance with an organizational assessment of risk; and

e.

Shares information obtained from the vulnerability scanning process and security control assessments with ra-5_c organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).

Supplemental guidance

Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).

Objectives

Determine if the organization:

(a)

[1]

[a]	defines the frequency for conducting vulnerability scans on the information system and hosted applications; and/or

[b]	defines the process for conducting random vulnerability scans on the information system and hosted applications;

[2]

in accordance with the organization-defined frequency and/or organization-defined process for conducting random scans, scans for vulnerabilities in:

[a]	the information system;

[b]	hosted applications;

[3]

when new vulnerabilities potentially affecting the system/applications are identified and reported, scans for vulnerabilities in:

[a]	the information system;

[b]	hosted applications;

(b)

employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:

(1)

[1]	enumerating platforms;

[2]	enumerating software flaws;

[3]	enumerating improper configurations;

(2)

[1]	formatting checklists;

[2]	formatting test procedures;

(3)	measuring vulnerability impact;

(c)

[1]	analyzes vulnerability scan reports;

[2]	analyzes results from security control assessments;

(d)

[1]	defines response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;

[2]	remediates legitimate vulnerabilities within the organization-defined response times in accordance with an organizational assessment of risk;

(e)

[1]	defines personnel or roles with whom information obtained from the vulnerability scanning process and security control assessments is to be shared;

[2]	shares information obtained from the vulnerability scanning process with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies); and

[3]	shares information obtained from security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).

Assessment: EXAMINE

Risk assessment policy

procedures addressing vulnerability scanning

risk assessment

security plan

security assessment report

vulnerability scanning tools and associated configuration documentation

vulnerability scanning results

patch and vulnerability management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities

organizational personnel with vulnerability scan analysis responsibilities

organizational personnel with vulnerability remediation responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for vulnerability scanning, analysis, remediation, and information sharing

automated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing

References

NIST Special Publication 800-40

NIST Special Publication 800-70

NIST Special Publication 800-115

http://cwe.mitre.org

http://nvd.nist.gov

SA-1 SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES

Parameter: sa-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: sa-1_b organization-defined frequency

organization-defined frequency

Parameter: sa-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to sa-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and

b.

Reviews and updates the current:

1.	System and services acquisition policy sa-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	System and services acquisition procedures sa-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a system and services acquisition policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the system and services acquisition policy is to be disseminated;

[3]	disseminates the system and services acquisition policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current system and services acquisition policy;

[2]	reviews and updates the current system and services acquisition policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current system and services acquisition procedures; and

[2]	reviews and updates the current system and services acquisition procedures with the organization-defined frequency.

Assessment: EXAMINE

System and services acquisition policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-100

SA-2 ALLOCATION OF RESOURCES

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Determines information security requirements for the information system or information system service in mission/business process planning;

b.	Determines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and

c.	Establishes a discrete line item for information security in organizational programming and budgeting documentation.

Supplemental guidance

Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.

cf #pm.3

cf #pm.11

Objectives

Determine if the organization:

(a)	determines information security requirements for the information system or information system service in mission/business process planning;

(b)

to protect the information system or information system service as part of its capital planning and investment control process:

[1]	determines the resources required;

[2]	documents the resources required;

[3]	allocates the resources required; and

(c)	establishes a discrete line item for information security in organizational programming and budgeting documentation.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the allocation of resources to information security requirements

procedures addressing capital planning and investment control

organizational programming and budgeting documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with capital planning, investment control, organizational programming and budgeting responsibilities

organizational personnel responsible for determining information security requirements for information systems/services

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for determining information security requirements

organizational processes for capital planning, programming, and budgeting

automated mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting

References

NIST Special Publication 800-65

SA-3 SYSTEM DEVELOPMENT LIFE CYCLE

Parameter: sa-3_a organization-defined system development life cycle

organization-defined system development life cycle

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Manages the information system using sa-3_a organization-defined system development life cycle organization-defined system development life cycle [NO PARAMETER VALUE GIVEN] that incorporates information security considerations;

b.	Defines and documents information security roles and responsibilities throughout the system development life cycle;

c.	Identifies individuals having information security roles and responsibilities; and

d.	Integrates the organizational information security risk management process into system development life cycle activities.

Supplemental guidance

A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.

cf AT-3AT-3AT-3

cf #pm.7

cf SA-8SA-8SA-8

Objectives

Determine if the organization:

(a)

[1]	defines a system development life cycle that incorporates information security considerations to be used to manage the information system;

[2]	manages the information system using the organization-defined system development life cycle;

(b)	defines and documents information security roles and responsibilities throughout the system development life cycle;

(c)	identifies individuals having information security roles and responsibilities; and

(d)	integrates the organizational information security risk management process into system development life cycle activities.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security into the system development life cycle process

information system development life cycle documentation

information security risk management strategy/program documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security and system life cycle development responsibilities

organizational personnel with information security risk management responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for defining and documenting the SDLC

organizational processes for identifying SDLC roles and responsibilities

organizational process for integrating information security risk management into the SDLC

automated mechanisms supporting and/or implementing the SDLC

References

NIST Special Publication 800-37

NIST Special Publication 800-64

SA-4 ACQUISITION PROCESS

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:

a.	Security functional requirements;

b.	Security strength requirements;

c.	Security assurance requirements;

d.	Security-related documentation requirements;

e.	Requirements for protecting security-related documentation;

f.	Description of the information system development environment and environment in which the system is intended to operate; and

g.	Acceptance criteria.

Supplemental guidance

Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.

Objectives

Determine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:

(a)	security functional requirements;

(b)	security strength requirements;

(c)	security assurance requirements;

(d)	security-related documentation requirements;

(e)	requirements for protecting security-related documentation;

(f)

description of:

[1]	the information system development environment;

[2]	the environment in which the system is intended to operate; and

(g)	acceptance criteria.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

acquisition contracts for the information system, system component, or information system service

information system design documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security functional, strength, and assurance requirements

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for determining information system security functional, strength, and assurance requirements

organizational processes for developing acquisition contracts

automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts

References

HSPD-12

ISO/IEC 15408

FIPS Publication 140-2

FIPS Publication 201

NIST Special Publication 800-23

NIST Special Publication 800-35

NIST Special Publication 800-36

NIST Special Publication 800-37

NIST Special Publication 800-64

NIST Special Publication 800-70

NIST Special Publication 800-137

Federal Acquisition Regulation

http://www.niap-ccevs.org

http://fips201ep.cio.gov

http://www.acquisition.gov/far

SA-5 INFORMATION SYSTEM DOCUMENTATION

Parameter: sa-5_a organization-defined actions

organization-defined actions

Parameter: sa-5_b organization-defined personnel or roles

organization-defined personnel or roles

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Obtains administrator documentation for the information system, system component, or information system service that describes:

1.	Secure configuration, installation, and operation of the system, component, or service;

2.	Effective use and maintenance of security functions/mechanisms; and

3.	Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;

b.

Obtains user documentation for the information system, system component, or information system service that describes:

1.	User-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;

2.	Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and

3.	User responsibilities in maintaining the security of the system, component, or service;

c.	Documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes sa-5_a organization-defined actions organization-defined actions [NO PARAMETER VALUE GIVEN] in response;

d.	Protects documentation as required, in accordance with the risk management strategy; and

e.	Distributes documentation to sa-5_b organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.

Objectives

Determine if the organization:

(a)

obtains administrator documentation for the information system, system component, or information system service that describes:

(1)

[1]	secure configuration of the system, system component, or service;

[2]	secure installation of the system, system component, or service;

[3]	secure operation of the system, system component, or service;

(2)

[1]	effective use of the security features/mechanisms;

[2]	effective maintenance of the security features/mechanisms;

(3)	known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;

(b)

obtains user documentation for the information system, system component, or information system service that describes:

(1)

[1]	user-accessible security functions/mechanisms;

[2]	how to effectively use those functions/mechanisms;

(2)	methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner;

(3)	user responsibilities in maintaining the security of the system, component, or service;

(c)

[1]	defines actions to be taken after documented attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;

[2]	documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;

[3]	takes organization-defined actions in response;

(d)	protects documentation as required, in accordance with the risk management strategy;

(e)

[1]	defines personnel or roles to whom documentation is to be distributed; and

[2]	distributes documentation to organization-defined personnel or roles.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing information system documentation

information system documentation including administrator and user guides

records documenting attempts to obtain unavailable or nonexistent information system documentation

list of actions to be taken in response to documented attempts to obtain information system, system component, or information system service documentation

risk management strategy documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

system administrators

organizational personnel operating, using, and/or maintaining the information system

information system developers

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for obtaining, protecting, and distributing information system administrator and user documentation

References: None

SA-8 SECURITY ENGINEERING PRINCIPLES

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.

Supplemental guidance

Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.

cf #pm.7

Objectives

Determine if the organization applies information system security engineering principles in:

[1]	the specification of the information system;

[2]	the design of the information system;

[3]	the development of the information system;

[4]	the implementation of the information system; and

[5]	the modification of the information system.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the information system

information system design documentation

information security requirements and specifications for the information system

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

organizational personnel with information system specification, design, development, implementation, and modification responsibilities

information system developers

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification

automated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification

References

NIST Special Publication 800-27

SA-9 EXTERNAL INFORMATION SYSTEM SERVICES

Parameter: sa-9_a organization-defined security controls

organization-defined security controls

Parameter: sa-9_b organization-defined processes, methods, and techniques

organization-defined processes, methods, and techniques

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Requires that providers of external information system services comply with organizational information security requirements and employ sa-9_a organization-defined security controls organization-defined security controls [NO PARAMETER VALUE GIVEN] in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

b.	Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and

c.	Employs sa-9_b organization-defined processes, methods, and techniques organization-defined processes, methods, and techniques [NO PARAMETER VALUE GIVEN] to monitor security control compliance by external service providers on an ongoing basis.

Supplemental guidance

External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.

cf CA-3CA-3CA-3

cf IR-7IR-7IR-7

cf PS-7PS-7PS-7

Objectives

Determine if the organization:

(a)

[1]	defines security controls to be employed by providers of external information system services;

[2]	requires that providers of external information system services comply with organizational information security requirements;

[3]	requires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

(b)

[1]	defines and documents government oversight with regard to external information system services;

[2]	defines and documents user roles and responsibilities with regard to external information system services;

(c)

[1]	defines processes, methods, and techniques to be employed to monitor security control compliance by external service providers; and

[2]	employs organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing external information system services

procedures addressing methods and techniques for monitoring security control compliance by external service providers of information system services

acquisition contracts, service-level agreements

organizational security requirements and security specifications for external provider services

security control assessment evidence from external providers of information system services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

external providers of information system services

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for monitoring security control compliance by external service providers on an ongoing basis

automated mechanisms for monitoring security control compliance by external service providers on an ongoing basis

References

NIST Special Publication 800-35

SA-10 DEVELOPER CONFIGURATION MANAGEMENT

Parameter: sa-10_a organization-defined configuration items under configuration management

organization-defined configuration items under configuration management

Parameter: sa-10_b organization-defined personnel

organization-defined personnel

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization requires the developer of the information system, system component, or information system service to:

a.	Perform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation];

b.	Document, manage, and control the integrity of changes to sa-10_a organization-defined configuration items under configuration management organization-defined configuration items under configuration management [NO PARAMETER VALUE GIVEN] ;

c.	Implement only organization-approved changes to the system, component, or service;

d.	Document approved changes to the system, component, or service and the potential security impacts of such changes; and

e.	Track security flaws and flaw resolution within the system, component, or service and report findings to sa-10_b organization-defined personnel organization-defined personnel [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.

Objectives

Determine if the organization:

(a)

requires the developer of the information system, system component, or information system service to perform configuration management during one or more of the following:

[1]	system, component, or service design;

[2]	system, component, or service development;

[3]	system, component, or service implementation; and/or

[4]	system, component, or service operation;

(b)

[1]	defines configuration items to be placed under configuration management;

[2]

requires the developer of the information system, system component, or information system service to:

[a]	document the integrity of changes to organization-defined items under configuration management;

[b]	manage the integrity of changes to organization-defined items under configuration management;

[c]	control the integrity of changes to organization-defined items under configuration management;

(c)	requires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service;

(d)

requires the developer of the information system, system component, or information system service to document:

[1]	approved changes to the system, component, or service;

[2]	the potential security impacts of such changes;

(e)

[1]	defines personnel to whom findings, resulting from security flaws and flaw resolution tracked within the system, component, or service, are to be reported;

[2]

requires the developer of the information system, system component, or information system service to:

[a]	track security flaws within the system, component, or service;

[b]	track security flaw resolution within the system, component, or service; and

[c]	report findings to organization-defined personnel.

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer configuration management

automated mechanisms supporting and/or implementing the monitoring of developer configuration management

References

NIST Special Publication 800-128

SA-11 DEVELOPER SECURITY TESTING AND EVALUATION

Parameter: sa-11_a organization-defined depth and coverage

organization-defined depth and coverage

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization requires the developer of the information system, system component, or information system service to:

a.	Create and implement a security assessment plan;

b.	Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation at sa-11_a organization-defined depth and coverage organization-defined depth and coverage [NO PARAMETER VALUE GIVEN] ;

c.	Produce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;

d.	Implement a verifiable flaw remediation process; and

e.	Correct flaws identified during security testing/evaluation.

Supplemental guidance

Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.

Objectives

Determine if the organization:

(a)	requires the developer of the information system, system component, or information system service to create and implement a security plan;

(b)

[1]	defines the depth of testing/evaluation to be performed by the developer of the information system, system component, or information system service;

[2]	defines the coverage of testing/evaluation to be performed by the developer of the information system, system component, or information system service;

[3]

requires the developer of the information system, system component, or information system service to perform one or more of the following testing/evaluation at the organization-defined depth and coverage:

[a]	unit testing/evaluation;

[b]	integration testing/evaluation;

[c]	system testing/evaluation; and/or

[d]	regression testing/evaluation;

(c)

requires the developer of the information system, system component, or information system service to produce evidence of:

[1]	the execution of the security assessment plan;

[2]	the results of the security testing/evaluation;

(d)	requires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process; and

(e)	requires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

References

ISO/IEC 15408

NIST Special Publication 800-53A

http://nvd.nist.gov

http://cwe.mitre.org

http://cve.mitre.org

http://capec.mitre.org

SA-12 SUPPLY CHAIN PROTECTION

Parameter: sa-12_a organization-defined security safeguards

organization-defined security safeguards

priority: P1

baseline-impact: HIGH

Control

The organization protects against supply chain threats to the information system, system component, or information system service by employing sa-12_a organization-defined security safeguards organization-defined security safeguards [NO PARAMETER VALUE GIVEN] as part of a comprehensive, defense-in-breadth information security strategy.

Supplemental guidance

Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.

cf #sa.14

cf #sa.18

cf #sa.19

cf #sc.29

cf #sc.30

cf #sc.38

cf SI-7SI-7SI-7

Objectives

Determine if the organization:

[1]	defines security safeguards to be employed to protect against supply chain threats to the information system, system component, or information system service; and

[2]	protects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for defining safeguards for and protecting against supply chain threats

automated mechanisms supporting and/or implementing safeguards for supply chain threats

References

NIST Special Publication 800-161

NIST Interagency Report 7622

SA-15 DEVELOPMENT PROCESS, STANDARDS, AND TOOLS

Parameter: sa-15_a organization-defined frequency

organization-defined frequency

Parameter: sa-15_b organization-defined security requirements

organization-defined security requirements

priority: P2

baseline-impact: HIGH

Control

The organization:

a.

Requires the developer of the information system, system component, or information system service to follow a documented development process that:

1.	Explicitly addresses security requirements;

2.	Identifies the standards and tools used in the development process;

3.	Documents the specific tool options and tool configurations used in the development process; and

4.	Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and

b.

Reviews the development process, standards, tools, and tool options/configurations sa-15_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy sa-15_b organization-defined security requirements organization-defined security requirements [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Development tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.

cf SA-3SA-3SA-3

cf SA-8SA-8SA-8

Objectives

Determine if the organization:

(a)

requires the developer of the information system, system component, or information system service to follow a documented development process that:

(1)	explicitly addresses security requirements;

(2)	identifies the standards and tools used in the development process;

(3)

[1]	documents the specific tool options used in the development process;

[2]	documents the specific tool configurations used in the development process;

(4)

[1]	documents changes to the process and/or tools used in the development;

[2]	manages changes to the process and/or tools used in the development;

[3]	ensures the integrity of changes to the process and/or tools used in the development;

(b)

[1]	defines a frequency to review the development process, standards, tools, and tool options/configurations;

[2]	defines security requirements to be satisfied by the process, standards, tools, and tool option/configurations selected and employed; and

[3]

[a]	reviews the development process with the organization-defined frequency to determine if the process selected and employed can satisfy organization-defined security requirements;

[b]	reviews the development standards with the organization-defined frequency to determine if the standards selected and employed can satisfy organization-defined security requirements;

[c]	reviews the development tools with the organization-defined frequency to determine if the tools selected and employed can satisfy organization-defined security requirements; and

[d]	reviews the development tool options/configurations with the organization-defined frequency to determine if the tool options/configurations selected and employed can satisfy organization-defined security requirements.

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

References: None

SA-16 DEVELOPER-PROVIDED TRAINING

Parameter: sa-16_a organization-defined training

organization-defined training

priority: P2

baseline-impact: HIGH

Control

The organization requires the developer of the information system, system component, or information system service to provide sa-16_a organization-defined training organization-defined training [NO PARAMETER VALUE GIVEN] on the correct use and operation of the implemented security functions, controls, and/or mechanisms.

Supplemental guidance

This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.

cf AT-2AT-2AT-2

cf AT-3AT-3AT-3

cf SA-5SA-5SA-5

Objectives

Determine if the organization:

[1]	defines training to be provided by the developer of the information system, system component, or information system service; and

[2]	requires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing developer-provided training

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

developer-provided training materials

training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information system security responsibilities

system developer

organizational or third-party developers with training responsibilities for the information system, system component, or information system service

References: None

SA-17 DEVELOPER SECURITY ARCHITECTURE AND DESIGN

priority: P1

baseline-impact: HIGH

Control

The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:

a.	Is consistent with and supportive of the organization�s security architecture which is established within and is an integrated part of the organization�s enterprise architecture;

b.	Accurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and

c.	Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.

Supplemental guidance

This control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization�s enterprise architecture and information security architecture.

cf PL-8PL-8PL-8

cf #pm.7

cf SA-3SA-3SA-3

cf SA-8SA-8SA-8

Objectives

Determine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:

(a)	is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;

(b)

accurately and completely describes:

[1]	the required security functionality;

[2]	the allocation of security controls among physical and logical components; and

(c)	expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

organizational personnel with security architecture and design responsibilities

References: None

SC-1 SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES

Parameter: sc-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: sc-1_b organization-defined frequency

organization-defined frequency

Parameter: sc-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to sc-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and

b.

Reviews and updates the current:

1.	System and communications protection policy sc-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	System and communications protection procedures sc-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a system and communications protection policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the system and communications protection policy is to be disseminated;

[3]	disseminates the system and communications protection policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current system and communications protection policy;

[2]	reviews and updates the current system and communications protection policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current system and communications protection procedures; and

[2]	reviews and updates the current system and communications protection procedures with the organization-defined frequency.

Assessment: EXAMINE

System and communications protection policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and communications protection responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-100

SC-2 APPLICATION PARTITIONING

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system separates user functionality (including user interface services) from information system management functionality.

Supplemental guidance

Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.

cf SA-4SA-4SA-4

cf SA-8SA-8SA-8

cf SC-3SC-3SC-3

Objective

Determine if the information system separates user functionality (including user interface services) from information system management functionality.

Assessment: EXAMINE

System and communications protection policy

procedures addressing application partitioning

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Separation of user functionality from information system management functionality

References: None

SC-3 SECURITY FUNCTION ISOLATION

priority: P1

baseline-impact: HIGH

Control

The information system isolates security functions from nonsecurity functions.

Supplemental guidance

The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.

cf #sa.13

Objective

Determine if the information system isolates security functions from nonsecurity functions.

Assessment: EXAMINE

System and communications protection policy

procedures addressing security function isolation

list of security functions to be isolated from nonsecurity functions

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Separation of security functions from nonsecurity functions within the information system

References: None

SC-4 INFORMATION IN SHARED RESOURCES

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system prevents unauthorized and unintended information transfer via shared system resources.

Supplemental guidance

This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.

cf AC-3AC-3AC-3

cf AC-4AC-4AC-4

cf MP-6MP-6MP-6

Objective

Determine if the information system prevents unauthorized and unintended information transfer via shared system resources.

Assessment: EXAMINE

System and communications protection policy

procedures addressing information protection in shared system resources

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms preventing unauthorized and unintended transfer of information via shared system resources

References: None

SC-5 DENIAL OF SERVICE PROTECTION

Parameter: sc-5_a organization-defined types of denial of service attacks or references to sources for such information

organization-defined types of denial of service attacks or references to sources for such information

Parameter: sc-5_b organization-defined security safeguards

organization-defined security safeguards

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system protects against or limits the effects of the following types of denial of service attacks: sc-5_a organization-defined types of denial of service attacks or references to sources for such information organization-defined types of denial of service attacks or references to sources for such information [NO PARAMETER VALUE GIVEN] by employing sc-5_b organization-defined security safeguards organization-defined security safeguards [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.

cf SC-6SC-6SC-6

cf SC-7SC-7SC-7

Objectives

Determine if:

[1]	the organization defines types of denial of service attacks or reference to source of such information for the information system to protect against or limit the effects;

[2]	the organization defines security safeguards to be employed by the information system to protect against or limit the effects of organization-defined types of denial of service attacks; and

[3]	the information system protects against or limits the effects of the organization-defined denial or service attacks (or reference to source for such information) by employing organization-defined security safeguards.

Assessment: EXAMINE

System and communications protection policy

procedures addressing denial of service protection

information system design documentation

security plan

list of denial of services attacks requiring employment of security safeguards to protect against or limit effects of such attacks

list of security safeguards protecting against or limiting the effects of denial of service attacks

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with incident response responsibilities

system developer

Assessment: TEST

Automated mechanisms protecting against or limiting the effects of denial of service attacks

References: None

SC-7 BOUNDARY PROTECTION

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.	Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system;

b.	Implements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and

c.	Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.

Supplemental guidance

Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.

Objectives

Determine if the information system:

(a)

[1]	monitors communications at the external boundary of the information system;

[2]	monitors communications at key internal boundaries within the system;

[3]	controls communications at the external boundary of the information system;

[4]	controls communications at key internal boundaries within the system;

(b)

implements subnetworks for publicly accessible system components that are either:

[1]	physically separated from internal organizational networks; and/or

[2]	logically separated from internal organizational networks; and

(c)	connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

list of key internal boundaries of the information system

information system design documentation

boundary protection hardware and software

information system configuration settings and associated documentation

enterprise security architecture documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms implementing boundary protection capability

References

FIPS Publication 199

NIST Special Publication 800-41

NIST Special Publication 800-77

SC-8 TRANSMISSION CONFIDENTIALITY AND INTEGRITY

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system protects the [Selection (one or more): confidentiality; integrity] of transmitted information.

Supplemental guidance

This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.

cf AC-17AC-17AC-17

cf PE-4PE-4PE-4

Objectives

Determine if the information system protects one or more of the following:

[1]	confidentiality of transmitted information; and/or

[2]	integrity of transmitted information.

Assessment: EXAMINE

System and communications protection policy

procedures addressing transmission confidentiality and integrity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity

References

FIPS Publication 140-2

FIPS Publication 197

NIST Special Publication 800-52

NIST Special Publication 800-77

NIST Special Publication 800-81

NIST Special Publication 800-113

CNSS Policy 15

NSTISSI No. 7003

SC-10 NETWORK DISCONNECT

Parameter: sc-10_a organization-defined time period

organization-defined time period

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system terminates the network connection associated with a communications session at the end of the session or after sc-10_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] of inactivity.

Supplemental guidance

This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.

Objectives

Determine if:

[1]	the organization defines a time period of inactivity after which the information system terminates a network connection associated with a communications session; and

[2]	the information system terminates the network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity.

Assessment: EXAMINE

System and communications protection policy

procedures addressing network disconnect

information system design documentation

security plan

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing network disconnect capability

References: None

SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Parameter: sc-12_a organization-defined requirements for key generation, distribution, storage, access, and destruction

organization-defined requirements for key generation, distribution, storage, access, and destruction

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with sc-12_a organization-defined requirements for key generation, distribution, storage, access, and destruction organization-defined requirements for key generation, distribution, storage, access, and destruction [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.

cf SC-13SC-13SC-13

cf SC-17SC-17SC-17

Objectives

Determine if the organization:

[1]

defines requirements for cryptographic key:

[a]	generation;

[b]	distribution;

[c]

storage;

[d]

access;

[e]	destruction; and

[2]	establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.

Assessment: EXAMINE

System and communications protection policy

procedures addressing cryptographic key establishment and management

information system design documentation

cryptographic mechanisms

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for cryptographic key establishment and/or management

Assessment: TEST

Automated mechanisms supporting and/or implementing cryptographic key establishment and management

References

NIST Special Publication 800-56

NIST Special Publication 800-57

SC-13 CRYPTOGRAPHIC PROTECTION

Parameter: sc-13_a organization-defined cryptographic uses and type of cryptography required for each use

organization-defined cryptographic uses and type of cryptography required for each use

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system implements sc-13_a organization-defined cryptographic uses and type of cryptography required for each use organization-defined cryptographic uses and type of cryptography required for each use [NO PARAMETER VALUE GIVEN] in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.

Supplemental guidance

Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).

Objectives

Determine if:

[1]	the organization defines cryptographic uses; and

[2]	the organization defines the type of cryptography required for each use; and

[3]	the information system implements the organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.

Assessment: EXAMINE

System and communications protection policy

procedures addressing cryptographic protection

information system design documentation

information system configuration settings and associated documentation

cryptographic module validation certificates

list of FIPS validated cryptographic modules

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for cryptographic protection

Assessment: TEST

Automated mechanisms supporting and/or implementing cryptographic protection

References

FIPS Publication 140

http://csrc.nist.gov/cryptval

http://www.cnss.gov

SC-15 COLLABORATIVE COMPUTING DEVICES

Parameter: sc-15_a organization-defined exceptions where remote activation is to be allowed

organization-defined exceptions where remote activation is to be allowed

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.	Prohibits remote activation of collaborative computing devices with the following exceptions: sc-15_a organization-defined exceptions where remote activation is to be allowed organization-defined exceptions where remote activation is to be allowed [NO PARAMETER VALUE GIVEN] ; and

b.	Provides an explicit indication of use to users physically present at the devices.

Supplemental guidance

Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.

cf AC-21AC-21AC-21

Objectives

Determine if:

(a)

[1]	the organization defines exceptions where remote activation of collaborative computing devices is to be allowed;

[2]	the information system prohibits remote activation of collaborative computing devices, except for organization-defined exceptions where remote activation is to be allowed; and

(b)	the information system provides an explicit indication of use to users physically present at the devices.

Assessment: EXAMINE

System and communications protection policy

procedures addressing collaborative computing

access control policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for managing collaborative computing devices

Assessment: TEST

Automated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices

automated mechanisms providing an indication of use of collaborative computing devices

References: None

SC-17 PUBLIC KEY INFRASTRUCTURE CERTIFICATES

Parameter: sc-17_a organization-defined certificate policy

organization-defined certificate policy

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization issues public key certificates under an sc-17_a organization-defined certificate policy organization-defined certificate policy [NO PARAMETER VALUE GIVEN] or obtains public key certificates from an approved service provider.

Supplemental guidance

For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.

cf SC-12SC-12SC-12

Objectives

Determine if the organization:

[1]	defines a certificate policy for issuing public key certificates;

[2]

issues public key certificates:

[a]	under an organization-defined certificate policy: or

[b]	obtains public key certificates from an approved service provider.

Assessment: EXAMINE

System and communications protection policy

procedures addressing public key infrastructure certificates

public key certificate policy or policies

public key issuing process

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for issuing public key certificates

service providers

Assessment: TEST

Automated mechanisms supporting and/or implementing the management of public key infrastructure certificates

References

OMB Memorandum 05-24

NIST Special Publication 800-32

NIST Special Publication 800-63

SC-18 MOBILE CODE

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Defines acceptable and unacceptable mobile code and mobile code technologies;

b.	Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and

c.	Authorizes, monitors, and controls the use of mobile code within the information system.

Supplemental guidance

Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.

Objectives

Determine if the organization:

(a)	defines acceptable and unacceptable mobile code and mobile code technologies;

(b)

[1]	establishes usage restrictions for acceptable mobile code and mobile code technologies;

[2]	establishes implementation guidance for acceptable mobile code and mobile code technologies;

(c)

[1]	authorizes the use of mobile code within the information system;

[2]	monitors the use of mobile code within the information system; and

[3]	controls the use of mobile code within the information system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing mobile code

mobile code usage restrictions, mobile code implementation policy and procedures

list of acceptable mobile code and mobile code technologies

list of unacceptable mobile code and mobile technologies

authorization records

information system monitoring records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing mobile code

Assessment: TEST

Organizational process for controlling, authorizing, monitoring, and restricting mobile code

automated mechanisms supporting and/or implementing the management of mobile code

automated mechanisms supporting and/or implementing the monitoring of mobile code

References

NIST Special Publication 800-28

DoD Instruction 8552.01

SC-19 VOICE OVER INTERNET PROTOCOL

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and

b.	Authorizes, monitors, and controls the use of VoIP within the information system.

Supplemental guidance

cf CM-6CM-6CM-6

cf SC-7SC-7SC-7

cf SC-15SC-15SC-15

Objectives

Determine if the organization:

(a)

[1]	establishes usage restrictions for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;

[2]	establishes implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;

(b)

[1]	authorizes the use of VoIP within the information system;

[2]	monitors the use of VoIP within the information system; and

[3]	controls the use of VoIP within the information system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing VoIP

VoIP usage restrictions

VoIP implementation guidance

information system design documentation

information system configuration settings and associated documentation

information system monitoring records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing VoIP

Assessment: TEST

Organizational process for authorizing, monitoring, and controlling VoIP

automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling VoIP

References

NIST Special Publication 800-58

SC-20 SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.	Provides additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and

b.	Provides the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.

Supplemental guidance

This control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.

Objectives

Determine if the information system:

(a)	provides additional data origin and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries;

(b)

provides the means to, when operating as part of a distributed, hierarchical namespace:

[1]	indicate the security status of child zones; and

[2]	enable verification of a chain of trust among parent and child domains (if the child supports secure resolution services).

Assessment: EXAMINE

System and communications protection policy

procedures addressing secure name/address resolution service (authoritative source)

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing DNS

Assessment: TEST

Automated mechanisms supporting and/or implementing secure name/address resolution service

References

OMB Memorandum 08-23

NIST Special Publication 800-81

SC-21 SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.

Supplemental guidance

Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.

cf SC-20SC-20SC-20

cf SC-22SC-22SC-22

Objectives

Determine if the information system:

[1]	requests data origin authentication on the name/address resolution responses the system receives from authoritative sources;

[2]	requests data integrity verification on the name/address resolution responses the system receives from authoritative sources;

[3]	performs data origin authentication on the name/address resolution responses the system receives from authoritative sources; and

[4]	performs data integrity verification on the name/address resolution responses the system receives from authoritative sources.

Assessment: EXAMINE

System and communications protection policy

procedures addressing secure name/address resolution service (recursive or caching resolver)

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing DNS

Assessment: TEST

Automated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services

References

NIST Special Publication 800-81

SC-22 ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.

Supplemental guidance

Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).

Objectives

Determine if the information systems that collectively provide name/address resolution service for an organization:

[1]	are fault tolerant; and

[2]	implement internal/external role separation.

Assessment: EXAMINE

System and communications protection policy

procedures addressing architecture and provisioning for name/address resolution service

access control policy and procedures

information system design documentation

assessment results from independent, testing organizations

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing DNS

Assessment: TEST

Automated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation

References

NIST Special Publication 800-81

SC-23 SESSION AUTHENTICITY

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system protects the authenticity of communications sessions.

Supplemental guidance

This control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.

cf SC-8SC-8SC-8

cf SC-10SC-10SC-10

cf #sc.11

Objective

Determine if the information system protects the authenticity of communications sessions.

Assessment: EXAMINE

System and communications protection policy

procedures addressing session authenticity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing session authenticity

References

NIST Special Publication 800-52

NIST Special Publication 800-77

NIST Special Publication 800-95

SC-24 FAIL IN KNOWN STATE

Parameter: sc-24_a organization-defined known-state

organization-defined known-state

Parameter: sc-24_b organization-defined types of failures

organization-defined types of failures

Parameter: sc-24_c organization-defined system state information

organization-defined system state information

priority: P1

baseline-impact: HIGH

Control

The information system fails to a sc-24_a organization-defined known-state organization-defined known-state [NO PARAMETER VALUE GIVEN] for sc-24_b organization-defined types of failures organization-defined types of failures [NO PARAMETER VALUE GIVEN] preserving sc-24_c organization-defined system state information organization-defined system state information [NO PARAMETER VALUE GIVEN] in failure.

Supplemental guidance

Failure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.

cf #cp.12

Objectives

Determine if:

[1]	the organization defines a known-state to which the information system is to fail in the event of a system failure;

[2]	the organization defines types of failures for which the information system is to fail to an organization-defined known-state;

[3]	the organization defines system state information to be preserved in the event of a system failure;

[4]	the information system fails to the organization-defined known-state for organization-defined types of failures; and

[5]	the information system preserves the organization-defined system state information in the event of a system failure.

Assessment: EXAMINE

System and communications protection policy

procedures addressing information system failure to known state

information system design documentation

information system configuration settings and associated documentation

list of failures requiring information system to fail in a known state

state information to be preserved in system failure

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing fail-in-known state capability

automated mechanisms preserving system state information in the event of a system failure

References: None

SC-28 PROTECTION OF INFORMATION AT REST

Parameter: sc-28_a organization-defined information at rest

organization-defined information at rest

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system protects the [Selection (one or more): confidentiality; integrity] of sc-28_a organization-defined information at rest organization-defined information at rest [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.

Objectives

Determine if:

[1]

the organization defines information at rest requiring one or more of the following:

[a]	confidentiality protection; and/or

[b]	integrity protection;

[2]

the information system protects:

[a]	the confidentiality of organization-defined information at rest; and/or

[b]	the integrity of organization-defined information at rest.

Assessment: EXAMINE

System and communications protection policy

procedures addressing protection of information at rest

information system design documentation

information system configuration settings and associated documentation

cryptographic mechanisms and associated configuration documentation

list of information at rest requiring confidentiality and integrity protections

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest

References

NIST Special Publication 800-56

NIST Special Publication 800-57

NIST Special Publication 800-111

SC-39 PROCESS ISOLATION

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system maintains a separate execution domain for each executing process.

Supplemental guidance

Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.

Objective

Determine if the information system maintains a separate execution domain for each executing process.

Assessment: EXAMINE

Information system design documentation

information system architecture

independent verification and validation documentation

testing and evaluation documentation, other relevant documents or records

Assessment: INTERVIEW

Information system developers/integrators

information system security architect

Assessment: TEST

Automated mechanisms supporting and/or implementing separate execution domains for each executing process

References: None

SI-1 SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES

Parameter: si-1_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: si-1_b organization-defined frequency

organization-defined frequency

Parameter: si-1_c organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Develops, documents, and disseminates to si-1_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] :

1.	A system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and

b.

Reviews and updates the current:

1.	System and information integrity policy si-1_b organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ; and

2.	System and information integrity procedures si-1_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf #pm.9

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a system and information integrity policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the system and information integrity policy is to be disseminated;

[3]	disseminates the system and information integrity policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current system and information integrity policy;

[2]	reviews and updates the current system and information integrity policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current system and information integrity procedures; and

[2]	reviews and updates the current system and information integrity procedures with the organization-defined frequency.

Assessment: EXAMINE

System and information integrity policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and information integrity responsibilities

organizational personnel with information security responsibilities

References

NIST Special Publication 800-12

NIST Special Publication 800-100

SI-2 FLAW REMEDIATION

Parameter: si-2_a organization-defined time period

organization-defined time period

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Identifies, reports, and corrects information system flaws;

b.	Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;

c.	Installs security-relevant software and firmware updates within si-2_a organization-defined time period organization-defined time period [NO PARAMETER VALUE GIVEN] of the release of the updates; and

d.	Incorporates flaw remediation into the organizational configuration management process.

Supplemental guidance

Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.

Objectives

Determine if the organization:

(a)

[1]	identifies information system flaws;

[2]	reports information system flaws;

[3]	corrects information system flaws;

(b)

[1]	tests software updates related to flaw remediation for effectiveness and potential side effects before installation;

[2]	tests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;

(c)

[1]	defines the time period within which to install security-relevant software updates after the release of the updates;

[2]	defines the time period within which to install security-relevant firmware updates after the release of the updates;

[3]	installs software updates within the organization-defined time period of the release of the updates;

[4]	installs firmware updates within the organization-defined time period of the release of the updates; and

(d)	incorporates flaw remediation into the organizational configuration management process.

Assessment: EXAMINE

System and information integrity policy

procedures addressing flaw remediation

procedures addressing configuration management

list of flaws and vulnerabilities potentially affecting the information system

list of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)

test results from the installation of software and firmware updates to correct information system flaws

installation/change control records for security-relevant software and firmware updates

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for flaw remediation

organizational personnel with configuration management responsibility

Assessment: TEST

Organizational processes for identifying, reporting, and correcting information system flaws

organizational process for installing software and firmware updates

automated mechanisms supporting and/or implementing reporting, and correcting information system flaws

automated mechanisms supporting and/or implementing testing software and firmware updates

References

NIST Special Publication 800-40

NIST Special Publication 800-128

SI-3 MALICIOUS CODE PROTECTION

Parameter: si-3_a organization-defined frequency

organization-defined frequency

Parameter: si-3_b organization-defined action

organization-defined action

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;

b.	Updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;

c.

Configures malicious code protection mechanisms to:

1.

Perform periodic scans of the information system si-3_a organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] and real-time scans of files from external sources at [Selection (one or more); endpoint; network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational security policy; and

2.	[Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; si-3_b organization-defined action organization-defined action [NO PARAMETER VALUE GIVEN] ] in response to malicious code detection; and

d.	Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.

Supplemental guidance

Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.

cf #sa.13

cf #sc.26

cf #sc.44

cf SI-2SI-2SI-2

cf SI-4SI-4SI-4

cf SI-7SI-7SI-7

Objectives

Determine if the organization:

(a)

employs malicious code protection mechanisms to detect and eradicate malicious code at information system:

[1]	entry points;

[2]	exit points;

(b)	updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);

(c)

[1]	defines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;

[2]	defines action to be initiated by malicious protection mechanisms in response to malicious code detection;

[3]

(1)

configures malicious code protection mechanisms to:

[a]	perform periodic scans of the information system with the organization-defined frequency;

[b]	perform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;

(2)

configures malicious code protection mechanisms to do one or more of the following:

[a]	block malicious code in response to malicious code detection;

[b]	quarantine malicious code in response to malicious code detection;

[c]	send alert to administrator in response to malicious code detection; and/or

[d]	initiate organization-defined action in response to malicious code detection;

(d)

[1]	addresses the receipt of false positives during malicious code detection and eradication; and

[2]	addresses the resulting potential impact on the availability of the information system.

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

organizational personnel with configuration management responsibility

Assessment: TEST

Organizational processes for employing, updating, and configuring malicious code protection mechanisms

organizational process for addressing false positives and resulting potential impact

automated mechanisms supporting and/or implementing employing, updating, and configuring malicious code protection mechanisms

automated mechanisms supporting and/or implementing malicious code scanning and subsequent actions

References

NIST Special Publication 800-83

SI-4 INFORMATION SYSTEM MONITORING

Parameter: si-4_a organization-defined monitoring objectives

organization-defined monitoring objectives

Parameter: si-4_b organization-defined techniques and methods

organization-defined techniques and methods

Parameter: si-4_c organization-defined information system monitoring information

organization-defined information system monitoring information

Parameter: si-4_d organization-defined personnel or roles

organization-defined personnel or roles

Parameter: si-4_e organization-defined frequency

organization-defined frequency

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.

Monitors the information system to detect:

1.	Attacks and indicators of potential attacks in accordance with si-4_a organization-defined monitoring objectives organization-defined monitoring objectives [NO PARAMETER VALUE GIVEN] ; and

2.	Unauthorized local, network, and remote connections;

b.	Identifies unauthorized use of the information system through si-4_b organization-defined techniques and methods organization-defined techniques and methods [NO PARAMETER VALUE GIVEN] ;

c.

Deploys monitoring devices:

1.	Strategically within the information system to collect organization-determined essential information; and

2.	At ad hoc locations within the system to track specific types of transactions of interest to the organization;

d.	Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;

e.

Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;

f.	Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and

g.

Provides si-4_c organization-defined information system monitoring information organization-defined information system monitoring information [NO PARAMETER VALUE GIVEN] to si-4_d organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] [Selection (one or more): as needed; si-4_e organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ].

Supplemental guidance

Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.

cf #sc.26

cf #sc.35

cf SI-3SI-3SI-3

cf SI-7SI-7SI-7

Objectives

Determine if the organization:

(a)

(1)

[1]	defines monitoring objectives to detect attacks and indicators of potential attacks on the information system;

[2]

monitors the information system to detect, in accordance with organization-defined monitoring objectives,:

[a]

attacks;

[b]	indicators of potential attacks;

(2)

monitors the information system to detect unauthorized:

[1]	local connections;

[2]	network connections;

[3]	remote connections;

(b)

(1)	defines techniques and methods to identify unauthorized use of the information system;

(2)	identifies unauthorized use of the information system through organization-defined techniques and methods;

(c)

deploys monitoring devices:

[1]	strategically within the information system to collect organization-determined essential information;

[2]	at ad hoc locations within the system to track specific types of transactions of interest to the organization;

(d)

protects information obtained from intrusion-monitoring tools from unauthorized:

[1]

access;

[2]	modification;

[3]

deletion;

(e)

heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;

(f)	obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;

(g)

[1]	defines personnel or roles to whom information system monitoring information is to be provided;

[2]	defines information system monitoring information to be provided to organization-defined personnel or roles;

[3]	defines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;

[4]

provides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:

[a]	as needed; and/or

[b]	with the organization-defined frequency.

Assessment: EXAMINE

Continuous monitoring strategy

system and information integrity policy

procedures addressing information system monitoring tools and techniques

facility diagram/layout

information system design documentation

information system monitoring tools and techniques documentation

locations within information system where monitoring devices are deployed

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility monitoring the information system

Assessment: TEST

Organizational processes for information system monitoring

automated mechanisms supporting and/or implementing information system monitoring capability

References

NIST Special Publication 800-61

NIST Special Publication 800-83

NIST Special Publication 800-92

NIST Special Publication 800-94

NIST Special Publication 800-137

SI-5 SECURITY ALERTS, ADVISORIES, AND DIRECTIVES

Parameter: si-5_a organization-defined external organizations

organization-defined external organizations

Parameter: si-5_b organization-defined personnel or roles

organization-defined personnel or roles

Parameter: si-5_c organization-defined elements within the organization

organization-defined elements within the organization

Parameter: si-5_d organization-defined external organizations

organization-defined external organizations

priority: P1

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Receives information system security alerts, advisories, and directives from si-5_a organization-defined external organizations organization-defined external organizations [NO PARAMETER VALUE GIVEN] on an ongoing basis;

b.	Generates internal security alerts, advisories, and directives as deemed necessary;

c.

Disseminates security alerts, advisories, and directives to: [Selection (one or more): si-5_b organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] ; si-5_c organization-defined elements within the organization organization-defined elements within the organization [NO PARAMETER VALUE GIVEN] ; si-5_d organization-defined external organizations organization-defined external organizations [NO PARAMETER VALUE GIVEN] ]; and

d.	Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.

Supplemental guidance

The United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.

cf SI-2SI-2SI-2

Objectives

Determine if the organization:

(a)

[1]	defines external organizations from whom information system security alerts, advisories and directives are to be received;

[2]	receives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;

(b)	generates internal security alerts, advisories, and directives as deemed necessary;

(c)

[1]	defines personnel or roles to whom security alerts, advisories, and directives are to be provided;

[2]	defines elements within the organization to whom security alerts, advisories, and directives are to be provided;

[3]	defines external organizations to whom security alerts, advisories, and directives are to be provided;

[4]

disseminates security alerts, advisories, and directives to one or more of the following:

[a]	organization-defined personnel or roles;

[b]	organization-defined elements within the organization; and/or

[c]	organization-defined external organizations; and

(d)

[1]	implements security directives in accordance with established time frames; or

[2]	notifies the issuing organization of the degree of noncompliance.

Assessment: EXAMINE

System and information integrity policy

procedures addressing security alerts, advisories, and directives

records of security alerts and advisories

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security alert and advisory responsibilities

organizational personnel implementing, operating, maintaining, and using the information system

organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives

automated mechanisms supporting and/or implementing definition, receipt, generation, and dissemination of security alerts, advisories, and directives

automated mechanisms supporting and/or implementing security directives

References

NIST Special Publication 800-40

SI-6 SECURITY FUNCTION VERIFICATION

Parameter: si-6_a organization-defined security functions

organization-defined security functions

Parameter: si-6_b organization-defined system transitional states

organization-defined system transitional states

Parameter: si-6_c organization-defined frequency

organization-defined frequency

Parameter: si-6_d organization-defined personnel or roles

organization-defined personnel or roles

Parameter: si-6_e organization-defined alternative action(s)

organization-defined alternative action(s)

priority: P1

baseline-impact: HIGH

Control

The information system:

a.	Verifies the correct operation of si-6_a organization-defined security functions organization-defined security functions [NO PARAMETER VALUE GIVEN] ;

b.

Performs this verification [Selection (one or more): si-6_b organization-defined system transitional states organization-defined system transitional states [NO PARAMETER VALUE GIVEN] ; upon command by user with appropriate privilege; si-6_c organization-defined frequency organization-defined frequency [NO PARAMETER VALUE GIVEN] ];

c.	Notifies si-6_d organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] of failed security verification tests; and

d.	[Selection (one or more): shuts the information system down; restarts the information system; si-6_e organization-defined alternative action(s) organization-defined alternative action(s) [NO PARAMETER VALUE GIVEN] ] when anomalies are discovered.

Supplemental guidance

Transitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.

cf CA-7CA-7CA-7

cf CM-6CM-6CM-6

Objectives

Determine if:

(a)

[1]	the organization defines security functions to be verified for correct operation;

[2]	the information system verifies the correct operation of organization-defined security functions;

(b)

[1]	the organization defines system transitional states requiring verification of organization-defined security functions;

[2]	the organization defines a frequency to verify the correct operation of organization-defined security functions;

[3]

the information system performs this verification one or more of the following:

[a]	at organization-defined system transitional states;

[b]	upon command by user with appropriate privilege; and/or

[c]	with the organization-defined frequency;

(c)

[1]	the organization defines personnel or roles to be notified of failed security verification tests;

[2]	the information system notifies organization-defined personnel or roles of failed security verification tests;

(d)

[1]	the organization defines alternative action(s) to be performed when anomalies are discovered;

[2]

the information system performs one or more of the following actions when anomalies are discovered:

[a]	shuts the information system down;

[b]	restarts the information system; and/or

[c]	performs organization-defined alternative action(s).

Assessment: EXAMINE

System and information integrity policy

procedures addressing security function verification

information system design documentation

information system configuration settings and associated documentation

alerts/notifications of failed security verification tests

list of system transition states requiring security functionality verification

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security function verification responsibilities

organizational personnel implementing, operating, and maintaining the information system

system/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Organizational processes for security function verification

automated mechanisms supporting and/or implementing security function verification capability

References: None

SI-7 SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Parameter: si-7_a organization-defined software, firmware, and information

organization-defined software, firmware, and information

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization employs integrity verification tools to detect unauthorized changes to si-7_a organization-defined software, firmware, and information organization-defined software, firmware, and information [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.

Objectives

Determine if the organization:

[1]

[a]	defines software requiring integrity verification tools to be employed to detect unauthorized changes;

[b]	defines firmware requiring integrity verification tools to be employed to detect unauthorized changes;

[c]	defines information requiring integrity verification tools to be employed to detect unauthorized changes;

[2]

employs integrity verification tools to detect unauthorized changes to organization-defined:

[a]

software;

[b]	firmware; and

[c]	information.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification tools and associated documentation

records generated/triggered from integrity verification tools regarding unauthorized software, firmware, and information changes

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Software, firmware, and information integrity verification tools

References

NIST Special Publication 800-147

NIST Special Publication 800-155

SI-8 SPAM PROTECTION

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization:

a.	Employs spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages; and

b.	Updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.

Supplemental guidance

Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.

Objectives

Determine if the organization:

(a)

employs spam protection mechanisms:

[1]	at information system entry points to detect unsolicited messages;

[2]	at information system entry points to take action on unsolicited messages;

[3]	at information system exit points to detect unsolicited messages;

[4]	at information system exit points to take action on unsolicited messages; and

(b)	updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.

Assessment: EXAMINE

System and information integrity policy

configuration management policy and procedures (CM-1)

procedures addressing spam protection

spam protection mechanisms

records of spam protection updates

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for spam protection

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for implementing spam protection

automated mechanisms supporting and/or implementing spam protection

References

NIST Special Publication 800-45

SI-10 INFORMATION INPUT VALIDATION

Parameter: si-10_a organization-defined information inputs

organization-defined information inputs

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system checks the validity of si-10_a organization-defined information inputs organization-defined information inputs [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.

Objectives

Determine if:

[1]	the organization defines information inputs requiring validity checks; and

[2]	the information system checks the validity of organization-defined information inputs.

Assessment: INTERVIEW

Organizational personnel with responsibility for information input validation

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing validity checks on information inputs

References: None

SI-11 ERROR HANDLING

Parameter: si-11_a organization-defined personnel or roles

organization-defined personnel or roles

priority: P2

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system:

a.	Generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and

b.	Reveals error messages only to si-11_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.

cf AU-2AU-2AU-2

cf AU-3AU-3AU-3

cf #sc.31

Objectives

Determine if:

(a)	the information system generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries;

(b)

[1]	the organization defines personnel or roles to whom error messages are to be revealed; and

[2]	the information system reveals error messages only to organization-defined personnel or roles.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system error handling

information system design documentation

information system configuration settings and associated documentation

documentation providing structure/content of error messages

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information input validation

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for error handling

automated mechanisms supporting and/or implementing error handling

automated mechanisms supporting and/or implementing management of error messages

References: None

SI-12 INFORMATION HANDLING AND RETENTION

priority: P2

baseline-impact: LOW

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.

Supplemental guidance

Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.

cf #ac.16

Objectives

Determine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:

[1]	handles information within the information system;

[2]	handles output from the information system;

[3]	retains information within the information system; and

[4]	retains output from the information system.

Assessment: EXAMINE

System and information integrity policy

federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information handling and retention

media protection policy and procedures

procedures addressing information system output handling and retention

information retention records, other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information handling and retention

organizational personnel with information security responsibilities/network administrators

Assessment: TEST

Organizational processes for information handling and retention

automated mechanisms supporting and/or implementing information handling and retention

References: None

SI-16 MEMORY PROTECTION

Parameter: si-16_a organization-defined security safeguards

organization-defined security safeguards

priority: P1

baseline-impact: MODERATE

baseline-impact: HIGH

Control

The information system implements si-16_a organization-defined security safeguards organization-defined security safeguards [NO PARAMETER VALUE GIVEN] to protect its memory from unauthorized code execution.

Supplemental guidance

Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.

cf #ac.25

cf SC-3SC-3SC-3

Objectives

Determine if:

[1]	the organization defines security safeguards to be implemented to protect information system memory from unauthorized code execution; and

[2]	the information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.

Assessment: EXAMINE

System and information integrity policy

procedures addressing memory protection for the information system

information system design documentation

information system configuration settings and associated documentation

list of security safeguards protecting information system memory from unauthorized code execution

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for memory protection

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution

References: None

IR-9 INFORMATION SPILLAGE RESPONSE

Parameter: ir-9_a organization-defined personnel or roles

organization-defined personnel or roles

Parameter: ir-9_b organization-defined actions

organization-defined actions

priority: P0

Control

The organization responds to information spills by:

a.	Identifying the specific information involved in the information system contamination;

b.	Alerting ir-9_a organization-defined personnel or roles organization-defined personnel or roles [NO PARAMETER VALUE GIVEN] of the information spill using a method of communication not associated with the spill;

c.	Isolating the contaminated information system or system component;

d.	Eradicating the information from the contaminated information system or component;

e.	Identifying other information systems or system components that may have been subsequently contaminated; and

f.	Performing other ir-9_b organization-defined actions organization-defined actions [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.

Objectives

Determine if the organization:

(a)	responds to information spills by identifying the specific information causing the information system contamination;

(b)

[1]	defines personnel to be alerted of the information spillage;

[2]	identifies a method of communication not associated with the information spill to use to alert organization-defined personnel of the spill;

[3]	responds to information spills by alerting organization-defined personnel of the information spill using a method of communication not associated with the spill;

(c)	responds to information spills by isolating the contaminated information system;

(d)	responds to information spills by eradicating the information from the contaminated information system;

(e)	responds to information spills by identifying other information systems that may have been subsequently contaminated;

(f)

[1]	defines other actions to be performed in response to information spills; and

[2]	responds to information spills by performing other organization-defined actions.

Assessment: EXAMINE

Incident response policy

procedures addressing information spillage

incident response plan

records of information spillage alerts/notifications, list of personnel who should receive alerts of information spillage

list of actions to be performed regarding information spillage

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for information spillage response

automated mechanisms supporting and/or implementing information spillage response actions and related communications

References: None

SC-6 RESOURCE AVAILABILITY

Parameter: sc-6_a organization-defined resources

organization-defined resources

Parameter: sc-6_b organization-defined security safeguards

organization-defined security safeguards

priority: P0

Control

The information system protects the availability of resources by allocating sc-6_a organization-defined resources organization-defined resources [NO PARAMETER VALUE GIVEN] by [Selection (one or more); priority; quota; sc-6_b organization-defined security safeguards organization-defined security safeguards [NO PARAMETER VALUE GIVEN] ].

Supplemental guidance

Priority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.

Objectives

Determine if:

[1]	the organization defines resources to be allocated to protect the availability of resources;

[2]	the organization defines security safeguards to be employed to protect the availability of resources;

[3]

the information system protects the availability of resources by allocating organization-defined resources by one or more of the following:

[a]

priority;

[b]	quota; and/or

[c]	organization-defined safeguards.

Assessment: EXAMINE

System and communications protection policy

procedures addressing prioritization of information system resources

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing resource allocation capability

safeguards employed to protect availability of resources